James S. Isentol
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 Samuel Isentol was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2020 - April 20, 2023
BTIG, LLC
November 14, 2016 - August 6, 2020
INSTINET, LLC
October 14, 2014 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
February 24, 2012 - October 8, 2014
MACQUARIE CAPITAL (USA) INC.
June 21, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
August 21, 2006 - October 18, 2011
SOLEIL SECURITIES CORPORATION
January 14, 2005 - August 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 2001 - August 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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