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YJ

Yvonne James

TIMECAPITAL SECURITIES
Port Jefferson Station, NY 11776-3336
Some features on this profile are disabled
CRD#: 4332682
YJ

Professional summary

Yvonne James is a registered financial professional currently at TIMECAPITAL SECURITIES CORPORATION located in Port Jefferson Station, New York.

Yvonne is registered as a RR (Registered Representative) and started their career in finance in 2001. Yvonne has worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Yvonne James's CRS (Customer Relationship Summary).
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

July 10, 2001 - Present

TIMECAPITAL SECURITIES CORPORATION

Office #1: One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336
BD
CRD#: 6845
Port Jefferson Station, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/29/2001
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TS
TIMECAPITAL SECURITIES CORPORATION
TIMECAPITAL SECURITIES CORPORATION

CRD#: 6845 / SEC#: , 8-18248

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

Main Address
One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336
Mailing Address
One Roosevelt Avenue, Port Jefferson Station, NY 11776-3336
Phone number
(631) 331-1400
Established
New York since 11/26/1974
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ROHMAN, ALEX JOHNPRESIDENT / CHIEF COMPLIANCE OFFICER / EXECUTIVE OFFICER2272815

Disclosures

Regulatory Event2
Arbitration1

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

TIMECAPITAL SECURITIES CORPORATION

CRD#: 6845Port Jefferson Station, NY 11776-3336

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