James P. Rothenberger
Professional summary
James Peter Rothenberger is a registered financial professional currently at BA SECURITIES, LLC located in San Diego, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 3 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Peter Rothenberger's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 6, 2024 - Present
BA SECURITIES, LLC
Office #1: 4660 La Jolla Village Drive, Suite 100, San Diego, CA 92122February 2, 2021 - March 4, 2023
MERIDIAN CAPITAL LLC
August 29, 2014 - January 6, 2021
HEXAGON CAPITAL ALLIANCE 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
(8/7/2025)
(7/6/2024)
(1/2/2025)
(7/6/2024)
(8/5/2024)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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