James B. Gilliam
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 Byron Gilliam, who also goes by James-byron Gilliam, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 3 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 16, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - January 3, 2022
OLIVETREE FINANCIAL, LLC
February 17, 2010 - September 9, 2011
UNICREDIT CAPITAL MARKETS LLC
December 1, 2004 - September 15, 2008
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 2/11/2024
General Securities Representative ExaminationSeries 79TO
Date: 2/11/2024
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 2/11/2024
Securities Trader ExamSeries 55
Date: 1/8/2008
Limited Representative-Equity Trader ExamCurrent Firm
OLIVETREE FINANCIAL, LLC
CRD#: 154026 / SEC#: , 8-68603
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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