James L. Tovey

PICKWICK CAPITAL PARTNERS

White Plains, NY 10601

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CRD#: 5160365

Professional summary

James Leo Tovey is a registered financial professional 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.

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 Leo Tovey's CRS (Customer Relationship Summary).

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

October 25, 2024 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601

CRD#: 130672

White Plains, NY

Past

January 23, 2012 - February 4, 2025

JLT CAPITAL PARTNERS LLC

CRD#: 158345

Naples, FL

Past

April 4, 2011 - December 16, 2011

BRATTLE ADVISORS LLC

CRD#: 153875

BOSTON, MA

Past

September 22, 2009 - March 29, 2011

JERA SECURITIES, INC.

CRD#: 44499

LOS ANGELES, CA

Past

April 24, 2009 - July 29, 2009

CITY NATIONAL SECURITIES, INC.

CRD#: 103705

LOS ANGELES, CA

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
(10/25/2024)

New York
(12/9/2024)

Exams

State Security Law Exam

Series 63

Date: 5/19/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 9/6/2017

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 4/23/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 54

Date: 2/22/2021

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/2010

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PICKWICK CAPITAL PARTNERS, LLC

JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

445 Hamilton Avenue Suite 1102, White Plains, NY 10601

Mailing Address

445 Hamilton Avenue Suite 1102, White Plains, NY 10601

Phone number

(914) 358-3269

Established

Delaware since 08/21/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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
ABRAMCZYK, JANE E	CCO	4801666
ACCESS MEDIA ADVISORY LLC	MEMBER
GENDRON, KAREN MARIE	FINOP	1503330

Red Flags

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Firm Stability Insights

James L. Tovey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Leo Tovey's CRS (Customer Relationship Summary).

Certified licenses

Experience

JLT CAPITAL PARTNERS LLC

BRATTLE ADVISORS LLC

JERA SECURITIES, INC.

CITY NATIONAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/19/2009

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 9/6/2017

Series 7

Date: 4/23/2009

Series 14

Date: 1/2/2023

Series 54

Date: 2/22/2021

Series 24

Date: 10/13/2010

FINRA

Current Firm

PICKWICK CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PICKWICK CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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