James Lawrence Bennett
Professional Summary
James Lawrence Bennett, who also goes by James Bennett, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Bennett
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NABCAPITAL SECURITIES LLC | NATIONAL AUSTRALIA CAPITAL MARKETS, LLC | NABSECURITIES, LLC
Contact Information
Main Address
277 Park Avenue 19th Floor, New York, NY, 10172Mailing Address
277 Park Avenue 19th Floor, New York, NY, 10172Phone Number
(212) 916-9500Established
Delaware since 09/05/1998Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| SCHILLING, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER | 2609624 |
| TAIANO, RICHARD LOUIS | PRESIDENT / CEO / DIRECTOR | 3037875 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/13/2024)
(8/6/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Lawrence Bennett's CRS (Customer Relationship Summary).
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