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JB

James A. Brennan

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CRD#: 4706804
JB

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 Andrew Brennan was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 63 and Series 7 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)

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

December 13, 2011 - October 24, 2013

ICE EXECUTION SERVICES, LLC

BD
CRD#: 146496
NEW YORK, NY
Past

March 8, 2005 - July 16, 2007

BEAR HUNTER STRUCTURED PRODUCTS LLC

BD
CRD#: 111198
NEW YORK, NY
Past

September 26, 2003 - March 2, 2005

BAILER TRADING LLC

BD
CRD#: 103901
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 12/15/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2011
General Securities Representative Examination

Current Firm

IE
ICE EXECUTION SERVICES, LLC
BALLISTA SECURITIES, LLC | ICE MATCH | ICE EXECUTION SERVICES, LLC

CRD#: 146496 / SEC#: , 8-67824

BD
Terminated by SEC on 12/24/2013
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/01/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BALLISTA HOLDINGS LLCMANAGING MEMBER
BAUMANN, MAURISA CHRISTINEHEAD OF SALES5969439
HARRISON, BRIAN MICHAELPRESIDENT4892235
KENNEY, TODD MOORECOO/RSFOP/GSP3213651
O'CONNOR, CATHERINE ANNCCO AND FINOP4764976

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

ICE EXECUTION SERVICES, LLC

CRD#: 146496

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