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JD

James J. Dowd

TRIUMPH CAPITAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4698141
JD

Professional summary

James John Dowd is a registered financial professional currently at TRIUMPH CAPITAL MARKETS, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 6 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 79 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 John Dowd's CRS (Customer Relationship Summary).
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

April 1, 2024 - Present

TRIUMPH CAPITAL MARKETS, LLC

Office #1: 150 North Riverside Plaza, Suite 5200, Chicago, IL 60606
BD
CRD#: 327963
Chicago, IL
Past

October 14, 2014 - July 3, 2023

SANTANDER US CAPITAL MARKETS LLC

BD
CRD#: 150696
CHICAGO, IL
Past

December 9, 2011 - October 14, 2014

AMHERST SECURITIES GROUP, L.P.

BD
CRD#: 31141
CHICAGO, IL
Past

March 1, 2007 - May 14, 2008

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
CHICAGO, IL
Past

March 11, 2004 - June 9, 2004

LORD, ABBETT & CO. LLC

RIA
CRD#: 110391
JERSEY CITY, NJ
Past

September 26, 2003 - June 9, 2004

LORD ABBETT DISTRIBUTOR LLC

BD
CRD#: 530
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(5/21/2024)
RR
Massachusetts
(8/22/2024)
RR
New York
(5/21/2024)
RR
North Carolina
(5/24/2024)
RR
Ohio
(5/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 12/8/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRIUMPH CAPITAL MARKETS, LLC
TRIUMPH CAPITAL MARKETS | TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963 / SEC#: , 8-71147

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

Main Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Mailing Address
150 North Riverside Plaza Suite 5200, Chicago, IL 60606
Phone number
(312) 705-2788
Established
Delaware since 05/08/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIUMPH CAPITAL MARKETS HOLDCO, LPSOLE MEMBER
COSIO, ROMMEL GOMEZCHIEF COMPLIANCE OFFICER2017788
GIBBONS, KEVIN PATRICKCHIEF EXECUTIVE OFFICER2382418
PORTNOFF, DAVID ROSSFINOP, PFO, POO2977967

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

TRIUMPH CAPITAL MARKETS, LLC

CRD#: 327963Chicago, IL 60606

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