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JI

James D. Irvin

EAST WEST MARKETS
Pasadena, CA 91101
Some features on this profile are disabled
CRD#: 4250099
JI

Professional summary

James David Irvin, who also goes by James D Irvin, is a registered financial professional currently at EAST WEST MARKETS, LLC located in Pasadena, California.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 10 firms and has passed the Series 63, Series 52TO, Series 22TO, Series 82TO, Series 99TO, Series 6TO, SIE, Series 79, Series 7, Series 14, Series 26, Series 39 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James D Irvin

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 David Irvin'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

December 5, 2025 - Present

EAST WEST MARKETS, LLC

Office #1: 135 Los Robles, Pasadena, CA 91101
BD
CRD#: 146871
Pasadena, CA
Past

June 4, 2024 - September 5, 2025

TCBI SECURITIES, INC.

BD
CRD#: 313304
DALLAS, TX
Past

March 22, 2016 - March 6, 2024

CITY NATIONAL SECURITIES, INC.

BD
CRD#: 103705
BEVERLY HILLS, CA
Past

June 11, 2013 - November 19, 2014

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

September 30, 2011 - April 26, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
LOS ANGELES, CA
Past

December 21, 2009 - August 11, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

April 21, 2009 - November 2, 2009

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

October 1, 2008 - December 22, 2008

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

March 15, 2005 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
LOS ANGELES, CA
Past

March 8, 2002 - June 6, 2002

BDO CAPITAL ADVISORS, LLC

BD
CRD#: 109679
CHICAGO, IL
Past

August 23, 2000 - October 4, 2001

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
LOS ANGELES, CA

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
California
(12/5/2025)
RR
Illinois
(12/5/2025)
RR
New York
(12/5/2025)
RR
Texas
(12/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 6/4/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 22TO
Date: 6/4/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/4/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 99TO
Date: 6/4/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/4/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/18/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/14/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 6/4/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/4/2024
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 6/4/2024
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EW
EAST WEST MARKETS, LLC
EAST WEST MARKETS, LLC | ENSTREAM CAPITAL SECURITIES, LLC | ENSTREAM CAPITAL MARKETS, LLC

CRD#: 146871 / SEC#: , 8-67858

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

Main Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Phone number
(469) 801-7397
Established
Texas since 07/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EAST WEST BANKCORP, INC.SOLE MEMBER
CHIN, PHYLLIS NYUK FAHFINOP/PFO6250921
DOHERTY, JAMES HUGHPOO4197747
HALASY, HALECCO1837514
HOUGH, DAVID BREWSTERCHIEF EXECUTIVE OFFICER4394641

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

EAST WEST MARKETS, LLC

CRD#: 146871Pasadena, CA 91101

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