James H. Jang

UNIVEST SECURITIES

New York, NY 10019

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CRD#: 6343693

Professional summary

James Han Jang is a registered financial professional currently at UNIVEST SECURITIES, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2015. James has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Han Jang'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

April 2, 2020 - Present

UNIVEST SECURITIES, LLC

Office #1: 75 Rockefeller Plaza Suite 1838, New York, NY 10019

CRD#: 36105

New York, NY

Past

June 10, 2019 - March 11, 2020

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

August 29, 2016 - June 4, 2019

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

November 3, 2015 - May 26, 2016

SIDOTI & COMPANY, LLC

CRD#: 102860

NEW YORK, NY

State Registrations and Notice Filings

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

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

New York
(4/2/2020)

Exams

State Security Law Exam

Series 63

Date: 3/1/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 2/10/2016

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 12/22/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 11/3/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/6/2021

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNIVEST SECURITIES, LLC

UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, LLC | UNIVEST SECURITIES, INC. DBA UNIVERSAL FINANCIAL GROUP | UNIVEST SECURITIES, INC. | UNIVEST SECURITIES

CRD#: 36105 / SEC#: , 8-47006

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

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Contact information

Main Address

75 Rockefeller Plaza Suite18c, New York, NY 10019

Mailing Address

75 Rockefeller Plaza, New York, NY 10019

Phone number

(212) 343-8888

Established

New York since 01/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
COMMAS INTERNATIONAL HOLDING, LLC	SHAREHOLDER
FAN, XINYUE	CFO	7171614
GUO, YI	MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, INVESTMENT BANKING CHIEF COMPLIANCE OFFICER	6246079
JACOBSEN, BRYAN K	NON INVESTMENT BANKING CHIEF COMPLIANCE OFFICER	3055957

Disclosures

Regulatory Event

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.

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Firm Stability Insights

James H. Jang

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Han Jang's CRS (Customer Relationship Summary).

Certified licenses

Experience

AEGIS CAPITAL CORP.

MAXIM GROUP LLC

SIDOTI & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/1/2016

SIE

Date: 10/1/2018

Series 86

Date: 2/10/2016

Series 87

Date: 12/22/2015

Series 7

Date: 11/3/2015

Series 24

Date: 2/6/2021

FINRA

Current Firm

UNIVEST SECURITIES, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

UNIVEST SECURITIES, LLC

TRUST BUT VERIFY

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