James M. Ahrens
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 Michael Ahrens, who also goes by James Ahrens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 21, Series 25 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2013 - October 30, 2015
ADP BROKER-DEALER, INC.
September 22, 2008 - October 24, 2012
BARCLAYS CAPITAL INC.
December 17, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
July 12, 2007 - January 8, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
January 2, 2001 - July 6, 2007
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 2, 2001
HUNTER SPECIALISTS, LLC
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
Series 55
Date: 12/7/2010
Limited Representative-Equity Trader ExamSeries 21
Date: 12/27/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 4/22/1999
NYSE Trading Assistant ExaminationCurrent Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
