James C. Esposito
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 Christopher Esposito, who also goes by James C Esposito, James Christopher Esposito, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 7 firms and has passed the Series 63, Series 79TO, SIE, Series 55 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
October 31, 2013 - March 22, 2023
CREDIT SUISSE SECURITIES (USA) LLC
September 15, 2010 - October 8, 2013
HSBC SECURITIES (USA) INC.
March 15, 2010 - August 23, 2010
BNP PARIBAS SECURITIES CORP.
October 5, 2007 - May 23, 2008
BANC OF AMERICA SECURITIES LLC
October 22, 2003 - August 4, 2005
SUSQUEHANNA SECURITIES, LLC
September 5, 2003 - August 4, 2005
SUSQUEHANNA INVESTMENT GROUP
November 7, 2001 - March 5, 2004
SAL EQUITY TRADING, GP
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 55
Date: 11/27/2001
Limited Representative-Equity Trader ExamCurrent Firm
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
