James A. Nugent

FIS BROKERAGE & SECURITIES SERVICES LLC

Bolingbrook, IL 60440

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CRD#: 4053597

Professional summary

James Anthony Nugent, who also goes by Tony Nugent, is a registered financial professional currently at FIS BROKERAGE & SECURITIES SERVICES LLC located in Bolingbrook, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 57, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Nugent

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 Anthony Nugent'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

January 31, 2025 - Present

FIS BROKERAGE & SECURITIES SERVICES LLC

Office #1: 270 Remington Blvd. Suite A, Bolingbrook, IL 60440

CRD#: 104162

Bolingbrook, IL

Past

September 15, 2017 - August 16, 2022

BUCKLER SECURITIES LLC

CRD#: 284576

Greenwich, CT

Past

March 20, 2015 - February 24, 2017

MAPLE SECURITIES U.S.A. INC.

CRD#: 33947

JERSEY CITY, NJ

Past

August 2, 2012 - March 3, 2015

BGC FINANCIAL, L.P.

CRD#: 19801

NEW YORK, NY

Past

September 10, 2010 - March 9, 2012

MML INVESTORS SERVICES, LLC

CRD#: 10409

HUNT VALLEY, MD

Past

March 2, 2000 - March 6, 2006

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

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

Maryland
(1/31/2025)

Exams

State Security Law Exam

Series 63

Date: 8/20/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 7/26/2016

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 5/19/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/9/2010

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/1/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIS BROKERAGE & SECURITIES SERVICES LLC

CRD#: 104162 / SEC#: , 8-52614

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

270 Remington Blvd. Suite A, Bolingbrook, IL 60440

Mailing Address

270 Remington Blvd. Suite A, Bolingbrook, IL 60440

Phone number

(630) 482-7300

Established

Delaware since 02/11/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIS CAPITAL MARKETS US LLC	SOLE MEMBER
DAMIS, JENEL CARIMA	CHIEF COMPLIANCE OFFICER	3261583
HECKER, STEVEN MICHAEL	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	3088510
PETERS, DAVID TODD	BOARD MEMBER, ASSISTANT SECRETARY	7798286
VOGEL, MICHAEL FRANCIS	CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY	2814935

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James A. Nugent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Anthony Nugent's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUCKLER SECURITIES LLC

MAPLE SECURITIES U.S.A. INC.

BGC FINANCIAL, L.P.

MML INVESTORS SERVICES, LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/20/2012

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 57

Date: 7/26/2016

Series 7

Date: 5/19/2011

Series 6

Date: 9/9/2010

Series 24

Date: 2/1/2018

FINRA

Current Firm

FIS BROKERAGE & SECURITIES SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIS BROKERAGE & SECURITIES SERVICES LLC

TRUST BUT VERIFY

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