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BJ

Bronwyn A. James

Some features on this profile are disabled
CRD#: 5806698
BJ

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Bronwyn Alexandra James, who also goes by Bronwyn James, was a registered financial professional .

Bronwyn is a previously registered financial professional and started their career in finance in 2010. Bronwyn had worked at 3 firms and has passed the Series 63, Series 7 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bronwyn James

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 10, 2013 - July 28, 2014

MCS CAPITAL MARKETS LLC

BD
CRD#: 151337
NEW YORK, NY
Past

April 5, 2013 - July 28, 2014

KKR CAPITAL MARKETS LLC

BD
CRD#: 143571
NEW YORK, NY
Past

August 13, 2010 - April 22, 2013

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 8/12/2010
Investment Banking Registered Representative Examination

Current Firm

MC
MCS CAPITAL MARKETS LLC
KKR CAPITAL MARKETS II LLC | SEVARA CAPITAL MARKETS, LLC | MCS CAPITAL MARKETS LLC

CRD#: 151337 / SEC#: , 8-68358

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

Main Address
30 Hudson Yards, New York, NY 10001
Mailing Address
30 Hudson Yards, New York, NY 10001
Phone number
(212) 750-8300
Established
Delaware since 06/25/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MERCHANT CAPITAL SOLUTIONS LLCSOLE MEMBER
KNOX, JOHN JOSEPHPRINCIPAL OPERATING OFFICER2605046
KNOX, JOHN JOSEPHPRINCIPAL FINANCIAL OFFICER2605046
KNOX, JOHN JOSEPHCHIEF FINANCIAL OFFICER, FINANCIAL/OPERATIONS PRINCIPAL2605046
SCHWARTZ, JEFFREY I.CHIEF COMPLIANCE OFFICER4961301
SMITH, ADAMCHIEF EXECUTIVE OFFICER5748435
THOMPSON, WILLIAM CADECHIEF OPERATING OFFICER4566364

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

MCS CAPITAL MARKETS LLC

CRD#: 151337

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