James B. Ahlfeld

ARCTIC SECURITIES LLC

New York, NY 10111

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CRD#: 4955796

Professional summary

James B Ahlfeld is a registered financial professional currently at ARCTIC SECURITIES LLC located in New York, New York and SB1 CAPITAL MARKETS INC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 25 firms and has passed the Series 99TO, SIE and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

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 B Ahlfeld'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

August 4, 2015 - Present

ARCTIC SECURITIES LLC

Office #1: 45 Rockefeller Plaza Suite 1960, New York, NY 10111Office #2: 45 Rockefeller Plaza Suite 1960, New York, NY 10124

CRD#: 174423

New York, NY

Current

April 4, 2025 - Present

SB1 CAPITAL MARKETS INC

Office #1: 260 Madison Ave 8th Floor, New York, NY 10016

CRD#: 154132

New York, NY

Past

January 24, 2023 - May 5, 2025

TS IMAGINE BROKERAGE SERVICES, LLC

CRD#: 146283

NEW YORK, NY

Past

July 16, 2021 - May 6, 2025

KOREFUSION CAPITAL LLC

CRD#: 311889

SAN FRANCISCO, CA

Past

April 16, 2019 - December 5, 2022

TS IMAGINE BROKERAGE SERVICES, LLC

CRD#: 146283

NEW YORK, NY

Past

March 11, 2019 - April 30, 2025

CHERTOFF CAPITAL, LLC

CRD#: 145134

WASHINGTON, DC

Past

January 9, 2019 - April 3, 2019

STANDARD NEW YORK, INC.

CRD#: 173725

NEW YORK, NY

Past

July 5, 2018 - November 8, 2018

ESPOSITO SECURITIES, LLC

CRD#: 143710

DALLAS, TX

Past

January 1, 2018 - April 29, 2019

LIQUID CAPITAL SECURITIES, LLC

CRD#: 148758

EVANSTON, IL

Past

July 11, 2016 - October 31, 2016

LIQUID CAPITAL SECURITIES, LLC

CRD#: 148758

EVANSTON, IL

Past

August 12, 2015 - April 6, 2023

FEARNLEY SECURITIES

CRD#: 174133

NEW YORK, NY

Past

June 29, 2015 - October 15, 2015

COMMONWEALTH AUSTRALIA SECURITIES LLC

CRD#: 136321

NEW YORK, NY

Past

October 7, 2014 - February 2, 2015

SI SECURITIES, LLC

CRD#: 170937

BOSTON, MA

Past

October 1, 2014 - June 6, 2017

CPIBD LLC

CRD#: 46049

NEW YORK, NY

Past

March 14, 2014 - September 30, 2015

LIQUID CAPITAL SECURITIES, LLC

CRD#: 148758

EVANSTON, IL

Past

February 3, 2014 - January 30, 2018

BAIRD, PATRICK & CO., INC.

CRD#: 1149

FAIRFIELD, NJ

Past

August 8, 2013 - December 19, 2019

BERINGER FINANCE US INC.

CRD#: 147050

NEW YORK, NY

Past

May 14, 2013 - May 3, 2016

PANAMERICAN CAPITAL SECURITIES LLC

CRD#: 130190

NEW YORK, NY

Past

April 9, 2013 - July 1, 2014

ROSS SECURITIES CORPORATION

CRD#: 113796

NEW YORK, NY

Past

April 5, 2013 - March 16, 2017

G.F. INVESTMENT SERVICES, LLC

CRD#: 132939

MCDONOUGH, GA

Past

April 4, 2013 - October 28, 2013

MERCURY CAPITAL ADVISORS, LLC

CRD#: 152338

NEW YORK, NY

Past

April 4, 2013 - March 29, 2024

PROMETHEAN CAPITAL GROUP LLC

CRD#: 44813

AQUINNAH, MA

Past

April 4, 2013 - November 5, 2024

GSA CAPITAL ASSOCIATES, LLC

CRD#: 151531

NEW YORK, NY

Past

April 4, 2013 - April 30, 2025

MOTILAL OSWAL SECURITIES INTERNATIONAL PRIVATE LIMITED

CRD#: 164319

PRABHADEVI, MUMBAI,

Past

April 3, 2013 - June 27, 2013

MACALLASTER PITFIELD MACKAY INC.

CRD#: 3046

NEW YORK, NY

Past

April 3, 2013 - October 5, 2015

CORESTONE DISTRIBUTORS, LLC

CRD#: 155941

RADNOR, PA

Past

April 3, 2013 - December 22, 2023

MADISON MARQUETTE SECURITIES LLC

CRD#: 133789

BOSTON, MA

Past

May 26, 2008 - April 26, 2013

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

State Registrations and Notice Filings

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

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

Florida
(5/3/2019)

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 27

Date: 5/23/2008

Financial and Operations Principal Examination

SRO Registrations

FINRA

Current Firm

SB1 CAPITAL MARKETS INC

MAGELLAN GLOBAL PARTNERS INC. | SPAREBANK 1 MARKETS INC. | SPAREBANK 1 CAPITAL MARKETS INC. | SB1 CAPITAL MARKETS INC

CRD#: 154132 / SEC#: , 8-68611

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

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Contact information

Main Address

260 Madison Ave 8th Floor, New York, NY 10016

Mailing Address

260 Madison Ave, New York, NY 10016

Phone number

(718) 551-5145

Established

Delaware since 09/03/2025

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
SB1 MARKETS AS	PARENT COMPANY
AHLFELD, JAMES B	FINOP/ PFO	4955796
BOWDEN, SEAN	CEO/ POO	2937192
HECKER, ALEXANDER JEREMY	CHIEF COMPLIANCE OFFICER	6140462

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James B. Ahlfeld

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James B Ahlfeld's CRS (Customer Relationship Summary).

Certified licenses

Experience

SB1 CAPITAL MARKETS INC

TS IMAGINE BROKERAGE SERVICES, LLC

KOREFUSION CAPITAL LLC

TS IMAGINE BROKERAGE SERVICES, LLC

CHERTOFF CAPITAL, LLC

STANDARD NEW YORK, INC.

ESPOSITO SECURITIES, LLC

LIQUID CAPITAL SECURITIES, LLC

LIQUID CAPITAL SECURITIES, LLC

FEARNLEY SECURITIES

COMMONWEALTH AUSTRALIA SECURITIES LLC

SI SECURITIES, LLC

CPIBD LLC

LIQUID CAPITAL SECURITIES, LLC

BAIRD, PATRICK & CO., INC.

BERINGER FINANCE US INC.

PANAMERICAN CAPITAL SECURITIES LLC

ROSS SECURITIES CORPORATION

G.F. INVESTMENT SERVICES, LLC

MERCURY CAPITAL ADVISORS, LLC

PROMETHEAN CAPITAL GROUP LLC

GSA CAPITAL ASSOCIATES, LLC

MOTILAL OSWAL SECURITIES INTERNATIONAL PRIVATE LIMITED

MACALLASTER PITFIELD MACKAY INC.

CORESTONE DISTRIBUTORS, LLC

MADISON MARQUETTE SECURITIES LLC

H.C.WAINWRIGHT & CO., LLC

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

SIE

Date: 1/2/2023

Series 27

Date: 5/23/2008

FINRA

Current Firm

SB1 CAPITAL MARKETS INC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

SB1 CAPITAL MARKETS INC

TRUST BUT VERIFY

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