James C. Webster
Professional summary
James Craig Webster, who also goes by Craig James Webster, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Craig Webster's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 31, 2024 - Present
ROC GLOBAL LLC
Office #1: 535 Fifth Avenue 4th Floor, New York, NY 10017January 4, 2021 - March 14, 2022
PERELLA WEINBERG PARTNERS LP
July 3, 2019 - January 4, 2021
TUDOR PICKERING HOLT & CO ADVISORS LP
June 5, 2014 - March 30, 2021
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
September 13, 2013 - May 7, 2014
GRIFFITHS MCBURNEY CORP.
March 31, 2010 - August 29, 2013
CIBC WORLD MARKETS CORP.
February 21, 2007 - February 19, 2010
UBS SECURITIES LLC
April 17, 2002 - February 6, 2004
RBC CAPITAL MARKETS, LLC
November 7, 2001 - March 8, 2005
RBC CAPITAL MARKETS CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2024)
Exams
Series 79TO
Date: 11/12/2019
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ROC GLOBAL LLC
CRD#: 154058 / SEC#: , 8-68605
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
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