James Crompton
Professional summary
James Crompton SR, who also goes by Jim Crompton, is a registered financial professional currently at PTR, INC. located in Collingswood, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 3 firms and has passed the Series 57TO, SIE, Series 24 and Series 14 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Crompton SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2007 - Present
PTR, INC.
Office #1: 601 Haddon Avenue Suite 108, Collingswood, NJ 08108October 31, 2011 - June 22, 2018
HYBRID TRADING & RESOURCES, LLC
June 30, 2005 - September 23, 2014
GLOBAL EMERGING CAPITAL GROUP, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamMIAX Sapphire
NYSE American LLC
Nasdaq PHLX LLC
Current Firm
PTR, INC.
CRD#: 31559 / SEC#: , 8-39854
Contact information
Documents
Disclosures
| Regulatory Event | 28 |
Red Flags
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