James L. Bennett
Professional summary
James Lawrence Bennett, who also goes by James Bennett, is a registered financial professional currently at NABSECURITIES, LLC located in New York, New York.
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 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Lawrence Bennett's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 6, 2021 - Present
NABSECURITIES, LLC
Office #1: 277 Park Avenue 19th Floor, New York, NY, 10172Office #2: 277 Park Avenue 19th Floor, New York, NY 10172May 21, 2018 - July 27, 2021
COMMONWEALTH AUSTRALIA SECURITIES LLC
August 25, 2014 - July 1, 2016
TRUIST SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/13/2024)
(8/6/2021)
Exams
FINRA
Current Firm
NABSECURITIES, LLC
CRD#: 47390 / SEC#: , 8-51785
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL AUSTRALIA BANK LIMITED | OWNER | |
| ALLAN-SMITH, JOHN NEVILLE | DIRECTOR / CHAIRMAN OF THE BOARD | 8027334 |
| KIRSCHENBLAT, CHAD ETHAN | FINOP & PFO | 2503352 |
| LESTER, MEREDITH | DIRECTOR | 7426691 |
| LYUBOMIRSKAYA, SVETLANA | DIRECTOR | 2793040 |
| MASCARENHAS, CARLA JANE | DIRECTOR | 6313662 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
Red Flags
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