James R. Thackston
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 Ryan Thackston, who also goes by James Thackston, Ryan Thackston, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 4 firms and has passed the Series 63, Series 82TO, SIE, Series 3, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2024 - May 19, 2026
INVICTA CAPITAL LLC
April 11, 2012 - January 19, 2016
BLACKSTONE SECURITIES PARTNERS L.P.
January 13, 2011 - March 29, 2012
UBS SECURITIES LLC
August 3, 2007 - December 9, 2010
B. RILEY SECURITIES, 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
Series 82TO
Date: 9/4/2024
Limited Representative-Private Securities OfferingsCurrent Firm
INVICTA CAPITAL LLC
CRD#: 288101 / SEC#: , 8-69923
Contact information
FINRA licenses (36 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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