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JS

James Schlossberg

ERNST & YOUNG CAPITAL ADVISORS
New York, NY 10001
Some features on this profile are disabled
CRD#: 4475585
JS

Professional summary

James Schlossberg is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2002. James has worked at 2 firms and has passed the Series 63, SIE, Series 99TO, Series 7, Series 28 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Schlossberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 11, 2016 - Present

ERNST & YOUNG CAPITAL ADVISORS, LLC

Office #1: One Manhattan West, New York, NY 10001
BD
CRD#: 152514
New York, NY
Past

January 15, 2002 - February 19, 2003

GIULIANI CAPITAL ADVISORS LLC

BD
CRD#: 111140
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7
Date: 1/14/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 10/11/2016
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 2/5/2003
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514 / SEC#: , 8-68461

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EYCA HOLDINGS LLCDIRECT OWNER
ARNOLIE, JENNIFER PICKARDDIRECTOR7072219
COSTA, SERGIOCHIEF COMPLIANCE OFFICER5746445
JOHNSON, PUTRA LFINOP/OFFICER5025564
WOODBY, JOHN PATRICKPRESIDENT, CEO & CONTROL PERSON2526475

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.

Company Information

ERNST & YOUNG CAPITAL ADVISORS, LLC

CRD#: 152514New York, NY 10001

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