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JL

James B. Lange

Some features on this profile are disabled
CRD#: 4653488
JL

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 Burke Lange was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 2 firms and has passed the Series 27 exam.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2013 - November 19, 2013

DRW EXECUTION SERVICES, LLC

BD
CRD#: 164486
CHICAGO, IL
Past

August 7, 2003 - November 30, 2017

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
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

Principal/Supervisory Exam
RR
Series 27
Date: 8/6/2003
Financial and Operations Principal Examination

Current Firm

DE
DRW EXECUTION SERVICES, LLC
DRW EXECUTION SERVICES, LLC

CRD#: 164486 / SEC#: , 8-69104

BD
Terminated by SEC on 01/10/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DRW HOLDINGS, LLCMANAGER
ARMOUR II, ROBERT WILLIAMCCO4447215
LANGE, JAMES BURKECFO / COO4653488
RICKMEYER, THOMAS JAMESCEO5681307

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

DRW EXECUTION SERVICES, LLC

CRD#: 164486

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