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JB

James L. Boulton

BROKERTEC AMERICAS LLC
New York, NY 10282
Some features on this profile are disabled
CRD#: 4774156
JB

Professional summary

James Lee Boulton, who also goes by James Boulton, Jamie Boulton, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2012. James has worked at 4 firms and has passed the SIE, Series 7 and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Boulton | Jamie Boulton

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 Lee Boulton's 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

November 28, 2023 - Present

BROKERTEC AMERICAS LLC

Office #1: 300 Vesey Street 7th Floor, New York, NY 10282
BD
CRD#: 47477
New York, NY
Past

March 9, 2021 - November 22, 2023

DEALERWEB LLC

BD
CRD#: 19662
JERSEY CITY, NJ
Past

December 9, 2016 - March 17, 2021

BROKERTEC AMERICAS LLC

BD
CRD#: 47477
New York, NY
Past

October 22, 2014 - December 6, 2016

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

August 29, 2012 - September 5, 2014

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 8/28/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BROKERTEC AMERICAS LLC
BROKERTEC AMERICAS LLC | ICAP ELECTRONIC BROKING LLC | BROKERTEC USA, L.L.C.

CRD#: 47477 / SEC#: , 8-51803

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

Main Address
300 Vesey Street 7th Floor, New York, NY 10282
Mailing Address
300 Vesey Street 7th Floor, New York, NY 10282
Phone number
(800) 438-8616
Established
Delaware since 04/23/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BROKERTEC HOLDINGS INC.100% OWNERSHIP
CALDERON, DAVID JASONCHIEF FINANCIAL OFFICER4575354
DENNIS, MICHAELDIRECTOR4192184
HIRSCHMANN, ELISA MCHIEF COMPLIANCE OFFICER AND DIRECTOR5112554
WAKEFIELD, JONATHAN BISHOPCEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR1676639
WEINMAN, ANDREW LEONARDCHIEF OPERATIONS OFFICER AND DIRECTOR5209879

Disclosures

Regulatory Event1

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

BROKERTEC AMERICAS LLC

CRD#: 47477New York, NY 10282

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