James C. Grooms
Professional summary
James Christopher Grooms, who also goes by James Grooms, Seamus Grooms, is a registered financial professional currently at CANACCORD GENUITY LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Christopher Grooms's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2014 - Present
CANACCORD GENUITY LLC
Office #1: One Pennsylvania Plaza Suite 2900, New York, NY 10119July 16, 2010 - May 8, 2014
UBS SECURITIES LLC
November 16, 2009 - July 28, 2010
CITIGROUP GLOBAL MARKETS INC.
January 20, 2009 - November 3, 2009
CITIZENS JMP SECURITIES, LLC
July 1, 2003 - January 9, 2009
WELLS FARGO SECURITIES, LLC
March 8, 2002 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 1, 2002 - March 15, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
February 16, 2001 - April 30, 2001
ABN AMRO INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/17/2020)
(6/23/2014)
(6/23/2014)
(1/12/2023)
(6/23/2014)
(6/23/2014)
(6/23/2014)
(6/23/2014)
(6/23/2014)
(2/9/2017)
Exams
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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