James A. Cerefice
Professional summary
James Anthony Cerefice, who also goes by James Cerefice, is a registered financial professional currently at MUTUAL OF AMERICA SECURITIES LLC located in Boca Raton, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Cerefice's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2024 - Present
MUTUAL OF AMERICA SECURITIES LLC
Office #1: 1150 Broken Sound Parkway Nw, Boca Raton, FL 33487February 21, 2019 - April 29, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 7, 2019 - April 29, 2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 20, 2018 - February 5, 2019
ALLIANCEBERNSTEIN L.P.
December 20, 2017 - February 5, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
February 13, 2015 - November 14, 2017
CHARLES SCHWAB & CO., INC.
February 10, 2015 - November 14, 2017
CHARLES SCHWAB & CO., INC.
December 4, 2013 - January 5, 2015
PNC WEALTH MANAGEMENT LLC
December 2, 2013 - January 5, 2015
PNC WEALTH MANAGEMENT LLC
October 1, 2012 - November 6, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 6, 2013
J.P. MORGAN SECURITIES LLC
December 18, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 18, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 10, 2008 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 10, 2007 - December 7, 2009
WELLS FARGO CLEARING SERVICES, LLC
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
FINRA
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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