James T. Jurewicz
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.
James Thomas Jurewicz, who also goes by James T Jurewicz, James Thomas Jurewicz, James Jurewicz, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2012. James had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2018 - July 10, 2019
CAPITAL ONE SECURITIES, INC.
June 7, 2017 - October 2, 2017
T3 TRADING GROUP, LLC
April 25, 2017 - May 8, 2017
T3 TRADING GROUP, LLC
November 12, 2015 - August 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2015 - August 10, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2012 - March 4, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2012 - March 4, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2012 - October 30, 2012
FIDELITY BROKERAGE 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
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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