James W. Clarke
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 William Clarke was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 6 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2024 - April 8, 2025
MAREX CAPITAL MARKETS INC.
November 7, 2023 - March 1, 2024
QUANTITATIVE BROKERS, LLC
September 2, 2021 - August 12, 2023
QUANTITATIVE BROKERS, LLC
March 22, 2016 - April 11, 2019
ICAP SECURITIES USA LLC
November 20, 2015 - April 11, 2019
TP ICAP GLOBAL MARKETS AMERICAS LLC
August 11, 2009 - July 27, 2010
NEWEDGE USA, LLC
March 30, 2006 - March 26, 2009
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
