James J. Barton
Professional summary
James Joseph Barton, CIMA®, who also goes by James J Barton, Jim Barton, is a registered financial professional currently at FIDX MARKETS LLC located in Berwyn, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Barton's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2023 - Present
FIDX MARKETS LLC
Office #1: 1000 Chesterbrook Blvd Ste 100, Berwyn, PA 19312December 12, 2018 - August 14, 2020
CHESTERBROOK CAPITAL
October 9, 2015 - October 3, 2018
FORESIDE FUND SERVICES, LLC
October 16, 2013 - September 10, 2015
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
March 26, 2012 - January 7, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 3, 2012 - March 27, 2013
HORIZON INVESTMENTS LLC
January 7, 2010 - August 29, 2011
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - August 29, 2011
DELAWARE DISTRIBUTORS, L.P.
October 1, 2007 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 12, 2004 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 28, 2003 - November 19, 2004
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/4/2024)
(1/2/2024)
(1/1/2024)
(1/2/2024)
(11/29/2023)
(11/7/2023)
(1/2/2024)
(10/24/2023)
(1/3/2024)
(2/13/2024)
(11/27/2023)
(11/2/2023)
(10/24/2023)
(7/11/2024)
(11/3/2023)
(10/24/2023)
(10/24/2023)
(10/25/2023)
(10/24/2023)
(11/2/2023)
(11/2/2023)
(4/25/2024)
(10/24/2023)
(4/15/2024)
(10/24/2023)
(1/5/2024)
(10/24/2023)
(11/2/2023)
(10/26/2023)
(1/19/2024)
(1/2/2024)
(1/5/2024)
(10/24/2023)
(10/27/2023)
(11/2/2023)
(11/1/2023)
(10/24/2023)
(11/20/2023)
(9/15/2023)
(10/24/2023)
(11/7/2023)
(11/7/2023)
(1/3/2024)
(1/2/2024)
(11/7/2023)
(11/21/2023)
(1/18/2024)
(10/25/2023)
(11/2/2023)
(11/7/2023)
(11/17/2023)
Exams
Series 99TO
Date: 1/21/2025
Operations Professional ExaminationSeries 7TO
Date: 12/2/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/2/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FIDX MARKETS LLC
CRD#: 322769 / SEC#: , 8-70981
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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