Nigel R. James
Professional summary
Nigel Ronald James, who also goes by Nigel James, is a registered financial professional currently at JOSEPH STONE CAPITAL L.L.C. located in Garden City, New York.
Nigel is registered as a RR (Registered Representative) and started their career in finance in 2002. Nigel has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nigel Ronald James's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 26, 2013 - Present
JOSEPH STONE CAPITAL L.L.C.
Office #1: 585 Stewart Ave Suite L60c, Garden City, NY 11530September 10, 2021 - January 2, 2024
VCS VENTURE SECURITIES
October 17, 2008 - February 26, 2013
FIRST MIDWEST SECURITIES, INC.
October 28, 2005 - October 17, 2008
J.P. TURNER & COMPANY, L.L.C.
October 11, 2004 - October 31, 2005
BRUNDYN SECURITIES INC.
April 30, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
January 25, 2002 - April 27, 2004
HARRISON SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/17/2013)
(3/11/2013)
(5/1/2013)
(7/7/2023)
(8/20/2013)
(3/5/2013)
(3/18/2013)
(3/19/2014)
(3/19/2013)
(2/27/2013)
(3/6/2013)
(10/15/2014)
(4/12/2013)
(12/14/2020)
(3/4/2013)
(3/1/2013)
(1/9/2014)
(1/8/2014)
(5/15/2013)
(9/26/2013)
(2/27/2013)
(2/27/2013)
(12/23/2024)
(2/27/2013)
(12/18/2024)
(5/17/2013)
(3/5/2013)
(3/18/2013)
(12/19/2024)
(3/18/2013)
(12/20/2024)
(4/10/2013)
Exams
FINRA
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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