James Leo Tovey
Professional Summary
James Leo Tovey is a registered financial advisor currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York. James is registered as a RR (Registered Representative) and started their career in finance in 2009. James has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 50, Series 7, Series 14, Series 54 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
JAVELIN SECURITIES, LLC | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC
Contact Information
Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601Phone Number
(914) 358-3269Established
Delaware since 08/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | — |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | — |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | — |
| PIDLIPCHAK, JOHN ADAM | FINOP | 5496984 |
| RISSER, SUZANNE LOUISE | CCO | 1303694 |
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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.
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State Registrations and Notice Filings
(10/25/2024)
(12/9/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 50 — Municipal Advisor Representative Qualification Exam
Passed Sep 2017About the Series 50 examSeries 54 — Municipal Advisor Principal Qualification Examination
Passed Feb 2021About the Series 54 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Leo Tovey's CRS (Customer Relationship Summary).
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