JJ
James Johnston
BLOOMBERG TRADEBOOK LLC
New York, NY 10022
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CRD#: 6364948
JJ
Professional summary
James Johnston, who also goes by James VIncent Johnston, is a registered financial professional currently at BLOOMBERG TRADEBOOK 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 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Vincent Johnston
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.
CRS (Client Relationship Summary) - BD
Click below to view James Johnston's 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®
NoneExperience
Current
August 26, 2014 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 731 Lexington Ave, New York, NY 10022BD
CRD#: 40881
New York, NY
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
Alabama(6/23/2022)
RR
Alaska(6/23/2022)
RR
Arizona(6/23/2022)
RR
Arkansas(6/23/2022)
RR
California(6/23/2022)
RR
Colorado(6/23/2022)
RR
Connecticut(11/3/2014)
RR
Delaware(6/23/2022)
RR
District of Columbia(6/23/2022)
RR
Florida(6/23/2022)
RR
Georgia(11/3/2014)
RR
Hawaii(6/23/2022)
RR
Idaho(6/23/2022)
RR
Illinois(6/23/2022)
RR
Indiana(6/23/2022)
RR
Iowa(6/23/2022)
RR
Kansas(6/23/2022)
RR
Kentucky(6/23/2022)
RR
Louisiana(6/23/2022)
RR
Maine(6/23/2022)
RR
Maryland(11/3/2014)
RR
Massachusetts(6/23/2022)
RR
Michigan(6/23/2022)
RR
Minnesota(6/23/2022)
RR
Mississippi(6/23/2022)
RR
Missouri(6/23/2022)
RR
Montana(6/23/2022)
RR
Nebraska(6/23/2022)
RR
Nevada(6/23/2022)
RR
New Hampshire(6/23/2022)
RR
New Jersey(6/23/2022)
RR
New Mexico(6/23/2022)
RR
New York(10/28/2014)
RR
North Carolina(6/23/2022)
RR
North Dakota(6/23/2022)
RR
Ohio(6/23/2022)
RR
Oklahoma(6/23/2022)
RR
Oregon(6/23/2022)
RR
Pennsylvania(6/23/2022)
RR
Puerto Rico(6/23/2022)
RR
Rhode Island(6/23/2022)
RR
South Carolina(6/23/2022)
RR
South Dakota(6/23/2022)
RR
Tennessee(6/23/2022)
RR
Texas(11/3/2014)
RR
Utah(6/23/2022)
RR
Vermont(6/23/2022)
RR
Virginia(6/23/2022)
RR
Washington(6/23/2022)
RR
West Virginia(6/23/2022)
RR
Wisconsin(6/23/2022)
RR
Wyoming(6/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
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.
