James J. Schumm
Professional summary
James Joseph Schumm, who also goes by James Joseph Schumm, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 87, Series 86, Series 55 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Schumm's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017April 12, 2018 - April 11, 2024
COWEN AND COMPANY
August 29, 2016 - June 6, 2017
GUGGENHEIM SECURITIES, LLC
September 3, 2014 - January 29, 2016
OPPENHEIMER & CO. INC.
October 3, 2013 - September 4, 2014
COWEN AND COMPANY
June 30, 2009 - May 21, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
November 14, 2007 - April 22, 2009
BANC OF AMERICA SECURITIES LLC
November 10, 2004 - August 12, 2005
RAYMOND JAMES & ASSOCIATES, INC.
March 28, 2002 - March 9, 2004
J.P. MORGAN SECURITIES INC.
September 21, 2000 - April 5, 2002
LEHMAN BROTHERS 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
(3/8/2024)
Exams
Series 55
Date: 5/16/2003
Limited Representative-Equity Trader ExamSeries 25
Date: 10/22/2002
NYSE Trading Assistant ExaminationFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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