James Kwiatkowski
Professional summary
James Kwiatkowski, who also goes by James Edward Kwiatkowski, is a registered financial professional currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 63, Series 7TO, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Kwiatkowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 23, 2021 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 605 3rd Ave, New York, NY 10158February 12, 2009 - June 10, 2010
CETERA WEALTH SERVICES, LLC
August 10, 2004 - February 22, 2007
INTERACTIVE BROKERS CORP.
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 7TO
Date: 12/22/2021
General Securities Representative ExaminationFINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
Red Flags
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