James J. Costello
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 John Costello, who also goes by James John Costello III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 63, 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
December 23, 2011 - August 29, 2013
DRIVEWEALTH INSTITUTIONAL LLC
June 16, 2008 - December 21, 2011
GLOBAL DIRECT EQUITIES, LLC
April 5, 2004 - June 16, 2008
JSF SECURITIES CORP.
October 18, 2002 - April 2, 2004
LABRANCHE & CO. LLC
June 4, 2001 - July 16, 2001
LABRANCHE & CO. 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 25
Date: 3/24/2003
NYSE Trading Assistant ExaminationCurrent Firm
DRIVEWEALTH INSTITUTIONAL LLC
CRD#: 33038 / SEC#: , 8-31461
Contact information
FINRA licenses (32 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIVEWEALTH HOLDINGS INC. | SOLE MEMBER | |
| BLANGIARDO, ALESSIO | FINANCIAL & OPERATIONS PRINCIPAL | 5600541 |
| ILARIO, ANTHONY | CHIEF OPERATING OFFICER | 2262100 |
| MADARASZ, RONALD JOHN | SENIOR MANAGER, INSTITUTIONAL SALES & TRADING | 1769473 |
| METZGER, BARRY SCOTT | CHIEF EXECUTIVE OFFICER | 4719211 |
| POND, ERIC | ROSFP | 6069469 |
| QUINONES, VINCENT JOSEPH | HEAD OF EXECUTION SERVICES | 4308610 |
| TZANETEAS, ALEC MICHAEL | CHIEF COMPLIANCE OFFICER | 6983736 |
Disclosures
| Regulatory Event | 3 |
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.
