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JM

James L. Metcalf

BAILEY & CO. SECURITIES
New York, NY 10020
Some features on this profile are disabled
CRD#: 4003359
JM

Professional summary

James Leighton Ayres Metcalf, who also goes by James Metcalf, is a registered financial professional currently at BAILEY & CO. SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 11 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Metcalf

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Leighton Ayres Metcalf's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 22, 2024 - Present

BAILEY & CO. SECURITIES, LLC

Office #1: 1 Rockefeller Plaza Suite 206, New York, NY 10020
BD
CRD#: 302015
New York, NY
Past

October 9, 2022 - June 26, 2024

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
NEW YORK, NY
Past

May 8, 2018 - November 2, 2022

HURON TRANSACTION ADVISORY LLC

BD
CRD#: 166959
NEW YORK, NY
Past

September 10, 2014 - May 2, 2018

ERNST & YOUNG CAPITAL ADVISORS, LLC

BD
CRD#: 152514
NEW YORK, NY
Past

November 6, 2012 - August 26, 2014

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
NEW YORK, NY
Past

May 22, 2012 - October 29, 2012

LOCUST WALK SECURITIES, LLC

BD
CRD#: 156174
BOSTON, MA
Past

June 1, 2007 - April 30, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
NEW YORK, NY
Past

July 18, 2005 - June 6, 2007

SHATTUCK HAMMOND PARTNERS LLC

BD
CRD#: 113645
NEW YORK, NY
Past

August 5, 2004 - December 1, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 9, 2001 - December 31, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

May 1, 2001 - May 4, 2001

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

October 1, 1999 - May 1, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/22/2024)
RR
Tennessee
(7/22/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/30/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

B&
BAILEY & CO. SECURITIES, LLC
BAILEY & CO. SECURITIES, LLC | BSC SECURITIES, LLC

CRD#: 302015 / SEC#: , 8-70458

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Mailing Address
5511 Virginia Way Suite 200, Brentwood, TN 37027
Phone number
(215) 694-5054
Established
Tennessee since 04/12/2019
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BAILEY & COMPANY PARENT, LLCPARENT COMPANY/100 OWNER
BAILEY, JEFFREY LAWRENCEMANAGING DIRECTOR/EXECUTIVE REPRESENTATIVE3171436
BAILEY, JOHN JAMES IIIMANAGING DIRECTOR/PRINCIPAL5708044
INGRAHAM, FRANK TODDCHIEF COMPLIANCE OFFICER2918519
SERRA, CARL ANTHONY IIIFINOP3179039

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BAILEY & CO. SECURITIES, LLC

CRD#: 302015New York, NY 10020

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