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JM

James J. Mcswiggan

INTEGRAL WEALTH SECURITIES LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 6235044
JM

Professional summary

James J Mcswiggan is a registered financial professional currently at INTEGRAL WEALTH SECURITIES LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2013. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view James J Mcswiggan's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

January 4, 2019 - Present

INTEGRAL WEALTH SECURITIES LLC

Office #1: 200 Vesey St. 24th Floor, New York, NY 10281
BD
CRD#: 36143
New York, NY
Past

July 7, 2015 - October 4, 2018

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

October 10, 2013 - December 5, 2014

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(1/4/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/10/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IW
INTEGRAL WEALTH SECURITIES LLC
AMERA SECURITIES LLC | SHIPLEY RAIDY CAPITAL PARTNERS, LP | SHIPLEY RAIDY CAPITAL PARTNERS, LLC | SHIPLEY RAIDY CAPITAL CORPORATION | INTEGRAL WEALTH SECURITIES LLC | ARIANE CAPITAL PARTNERS LLC

CRD#: 36143 / SEC#: , 8-47026

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

Main Address
200 Vesey St. 24th Floor, New York, NY 10281
Mailing Address
200 Vesey St. 24th Floor, New York, NY 10281
Phone number
(888) 799-8856
Established
Pennsylvania since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERA HOLDINGS LLCDIRECT OWNER
GIBSON, JOHNCEO/CCO7661898
PETERS, ROBERT WILLIAMFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1704577

Disclosures

Regulatory Event2

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

INTEGRAL WEALTH SECURITIES LLC

CRD#: 36143New York, NY 10281

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