James W. Carney
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 W Carney JR. was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 5 firms and has passed the Series 63, 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
July 7, 2011 - January 19, 2017
RONIN CAPITAL, LLC
February 29, 2008 - May 21, 2010
RBC CAPITAL MARKETS, LLC
July 13, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 22, 2004 - June 18, 2004
MAKO GLOBAL DERIVATIVES LLC
August 15, 2002 - July 11, 2003
BEAR WAGNER SPECIALISTS 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
Current Firm
RONIN CAPITAL, LLC
CRD#: 118428 / SEC#: , 8-53655
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZEN HOLDINGS, LLC | MEMBER | |
| FAIRWAY TRADING, LLC | MEMBER | |
| STAFFORD, JOHN SPRINGS III | CHIEF EXECUTIVE OFFICER | 2366359 |
| ANSATZ HOLDINGS LLC | MEMBER | |
| BURDA, AGNIESZKA | CHIEF COMPLIANCE OFFICER | 4832368 |
| CHERVITZ, KERI S | COMPLIANCE MANAGER | 2875647 |
| DAI, ERIC | CHIEF OPERATING OFFICER | 5880944 |
| GALIN, JONATHAN BRETT | CHIEF RISK OFFICER | 1597276 |
| HUERTA, KELLY JO | FINANCIAL AND OPERATION PRINCIPAL | 4889908 |
| POOLER, ROBERT EDWARD JR | CHIEF FINANCIAL OFFICER | 2817263 |
| WOLO CAPITAL, LLC | MEMBER |
Disclosures
| Regulatory Event | 26 |
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.
