James Craig Webster
Professional Summary
James Craig Webster, who also goes by Craig James Webster, is a registered financial advisor currently at ROC GLOBAL LLC located in New York, New York. James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Craig James Webster
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
ROC GLOBAL LLC | ROC GLOBAL SECURITIES LLC
Contact Information
Main Address
535 Fifth Avenue 4th Floor, New York, NY 10017Mailing Address
535 Fifth Avenue 4th Floor, New York, NY 10017Phone Number
(646) 218-9841Established
Connecticut since 06/12/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(9/2/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2019About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Craig Webster's CRS (Customer Relationship Summary).
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