James T. Maher

BAY CREST PARTNERS

New York, NY 10005

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CRD#: 4175662

Professional summary

James Thomas Maher is a registered financial professional currently at BAY CREST PARTNERS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 21 and Series 25 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Thomas Maher's CRS (Customer Relationship Summary).

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

September 6, 2023 - Present

BAY CREST PARTNERS, LLC

Office #1: 40 Wall Street 42nd Floor, New York, NY 10005

CRD#: 39944

New York, NY

Past

April 10, 2023 - August 30, 2023

GTS EXECUTION SERVICES LLC

CRD#: 306364

NEW YORK, NY

Past

December 5, 2018 - September 11, 2023

MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818

STAMFORD, CT

Past

April 13, 2016 - August 30, 2023

GTS SECURITIES LLC

CRD#: 149224

New York, NY

Past

January 25, 2010 - April 27, 2016

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

December 1, 2008 - January 27, 2010

LABRANCHE & CO. LLC

CRD#: 32661

NEW YORK, NY

Past

April 23, 2001 - April 1, 2009

BEAR WAGNER SPECIALISTS LLC

CRD#: 32691

NEW YORK, NY

Past

November 13, 1995 - February 5, 2001

WSM HOLDINGS, L.L.C.

CRD#: 31352

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

New York
(9/6/2023)

Exams

State Security Law Exam

Series 63

Date: 9/27/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/24/2007

General Securities Representative Examination

General Industry/Product Exam

Series 21

Date: 8/24/2000

NYSE Front Line Specialist Clerk

General Industry/Product Exam

Series 25

Date: 11/3/1999

NYSE Trading Assistant Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BAY CREST PARTNERS, LLC

AFC PARTNERS, LLC | BAY CREST PARTNERS, LLC

CRD#: 39944 / SEC#: , 8-48931

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

40 Wall Street 42nd Floor, New York, NY 10005

Mailing Address

40 Wall Street 42nd Floor, New York, NY 10005

Phone number

(212) 480-1400

Established

New York since 12/20/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FREEDOM HOLDING GROUP, LLC	SOLE LLC MEMBER
CARBONARA, LISA	CCO	5227955
MULLIGAN, WILLIAM PETER JR.	GENERAL SECURITIES PRINCIPAL, LLC MANAGER, CEO	1614209
SCHEUERMANN, JOSEPH PHILIP	COO	3273673
SCHEUERMANN, JOSEPH PHILIP	PFO, POO, FINOP	3273673
WEISS, NICHOLAS DANIEL	ROP	2856151

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

James T. Maher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Maher's CRS (Customer Relationship Summary).

Certified licenses

Experience

GTS EXECUTION SERVICES LLC

MISCHLER FINANCIAL GROUP, INC.

GTS SECURITIES LLC

BARCLAYS CAPITAL INC.

LABRANCHE & CO. LLC

BEAR WAGNER SPECIALISTS LLC

WSM HOLDINGS, L.L.C.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/27/2017

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2007

Series 21

Date: 8/24/2000

Series 25

Date: 11/3/1999

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BAY CREST PARTNERS, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BAY CREST PARTNERS, LLC

TRUST BUT VERIFY

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