James M. Ventre
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 Ventre was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2013 - March 27, 2013
JOHN THOMAS FINANCIAL
October 25, 2010 - September 19, 2013
BENJAMIN & JEROLD BROKERAGE I, LLC
June 29, 2007 - October 27, 2010
PERDIUE SECURITIES, LLC
August 18, 2006 - October 1, 2007
BROWN BROTHERS HARRIMAN & CO.
March 28, 2001 - July 2, 2007
MINERO SECURITIES, 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: 10/17/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 8/24/2001
NYSE Trading Assistant ExaminationCurrent Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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