James H. Carty
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Herbert Carty was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 12 firms and has passed the Series 63, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2010 - November 17, 2015
DREXEL HAMILTON, LLC
August 3, 2009 - November 5, 2010
NORTHEAST SECURITIES, LLC
January 7, 2005 - July 31, 2009
FHN FINANCIAL SECURITIES CORP.
June 12, 2000 - January 7, 2005
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 30, 1996 - June 15, 2000
LEGG MASON WOOD WALKER, INCORPORATED
March 4, 1985 - March 14, 1995
J.P. MORGAN SECURITIES LLC
April 17, 1979 - February 21, 1985
SALOMON BROTHERS INC.
February 21, 1978 - May 14, 1979
GOLDMAN SACHS & CO. LLC
January 20, 1978 - February 23, 1978
LOEB PARTNERS
January 4, 1977 - January 20, 1978
LOEB RHOADES & CO. INC.
July 1, 1974 - January 4, 1977
LOEB, RHOADES & CO. INC.
January 16, 1973 - May 8, 1974
SBC WARBURG DILLON READ INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 1/11/1973
Registered Representative ExaminationSeries 8
Date: 3/23/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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