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SJ

Suzanne K. James

FIRST CITIZENS CAPITAL SECURITIES
New York, NY 10036
Some features on this profile are disabled
CRD#: 5221282
SJ

Professional summary

Suzanne Kathryn James, who also goes by Suzanne Kathryn James, Suzanne Kathryn Monaghan, is a registered financial professional currently at FIRST CITIZENS CAPITAL SECURITIES, LLC located in New York, New York.

Suzanne is registered as a RR (Registered Representative) and started their career in finance in 2006. Suzanne has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Suzanne Kathryn James | Suzanne Kathryn Monaghan

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 Suzanne Kathryn James'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

November 16, 2017 - Present

FIRST CITIZENS CAPITAL SECURITIES, LLC

Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036
BD
CRD#: 41504
New York, NY
Past

April 8, 2010 - July 21, 2016

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

December 20, 2006 - April 1, 2010

FIRST CITIZENS CAPITAL SECURITIES, LLC

BD
CRD#: 41504
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(11/16/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FIRST CITIZENS CAPITAL SECURITIES, LLC
CAP-SYN CORP. | NEWCOURT CAPITAL SECURITIES, INC. | NEWCOURT CAPITAL | FIRST CITIZENS CAPITAL SECURITIES, LLC | CIT CAPITAL SECURITIES, INC. | CIT CAPITAL SECURITIES LLC

CRD#: 41504 / SEC#: , 8-49466

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

Main Address
11 West 42nd Street 13th Floor, New York, NY 10036
Mailing Address
11 West 42nd Street 11th Floor, New York, NY 10036
Phone number
(212) 771-7872
Established
Delaware since 03/31/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FIRST CITIZENS BANCSHARES, INC.SHAREHOLDER
GETTYS, ALISHA DANIELLECHIEF COMPLIANCE OFFICER6254273
HUI, MICHELLE CHAOCHIEF FINANCIAL OFFICER/FINOP2480261
YOUNG, MICHAEL ROBERTPRESIDENT4410392

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

Company Information

FIRST CITIZENS CAPITAL SECURITIES, LLC

CRD#: 41504New York, NY 10036

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