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JY

James P. Yancey

BESSEMER INVESTOR SERVICES
Atlanta, GA 30326
Some features on this profile are disabled
CRD#: 6368442
JY

Professional summary

James Patric Yancey JR, CFP®, who also goes by James Patric Yancey, is a registered financial professional currently at BESSEMER INVESTOR SERVICES, INC. located in Atlanta, Georgia.

James is registered as a RR (Registered Representative) and started their career in finance in 2014. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Patric Yancey

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 Patric Yancey JR'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®
CFP®

Certified Financial Planner

Experience

Current

November 9, 2022 - Present

BESSEMER INVESTOR SERVICES, INC.

Office #1: 3455 Peachtree Road, N.e. Suite 850, Atlanta, GA 30326
BD
CRD#: 17442
Atlanta, GA
Past

August 27, 2019 - October 4, 2022

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
ATLANTA, GA
Past

August 27, 2019 - October 4, 2022

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
Atlanta, GA
Past

December 16, 2015 - June 26, 2019

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
ATLANTA, GA
Past

December 15, 2015 - June 26, 2019

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ATLANTA, GA
Past

April 1, 2015 - December 17, 2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
ATLANTA, GA
Past

October 4, 2014 - December 17, 2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
ATLANTA, GA

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
(5/8/2023)
RR
Arkansas
(5/8/2023)
RR
Florida
(5/8/2023)
RR
Georgia
(11/9/2022)
RR
Indiana
(5/8/2023)
RR
Kentucky
(5/8/2023)
RR
Mississippi
(5/8/2023)
RR
Missouri
(5/8/2023)
RR
New Mexico
(5/8/2023)
RR
North Carolina
(5/8/2023)
RR
Ohio
(5/8/2023)
RR
Pennsylvania
(5/8/2023)
RR
South Carolina
(5/8/2023)
RR
Tennessee
(5/8/2023)
RR
Utah
(5/8/2023)
RR
Vermont
(5/8/2023)
RR
Virginia
(5/8/2023)
RR
Washington
(5/8/2023)
RR
Wyoming
(5/8/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/2/2015
Uniform Combined 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: 10/4/2014
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BI
BESSEMER INVESTOR SERVICES, INC.
BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442 / SEC#: , 8-35199

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

Main Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Mailing Address
1271 Avenue Of The Americas 46 Floor, New York, NY 10020
Phone number
(212) 708-9100
Established
Delaware since 04/07/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
BESSEMER TRUST COMPANY, N.A.SHAREHOLDER
BOYLE, PATRICK SIDNEYSENIOR VICE PRESIDENT2472066
GLOWACKI, JEFF JOSEPHDIRECTOR/SENIOR VICE PRESIDENT2942946
GUPTA, RITUCHIEF COMPLIANCE OFFICER/ASSISTANT SECRETARY5059699
MARQUEZ, MICHAEL ALLENDIRECTOR/PRESIDENT4413060
MCBRIDE, TIMOTHY SEANSENIOR VICE PRESIDENT2554176
PEDROSO, ARTURO GUSTAVOSENIOR VICE PRESIDENT5161708
SCHLUSSELBERG, BRIAN SCOTTSENIOR VICE PRESIDENT4716582
SLOAN, BENJAMIN PERRYSENIOR VICE PRESIDENT4243057
SYMINGTON, JANE REILLYSENIOR VICE PRESIDENT2520317
TRIMARCO MIRANDO, DIANAASSISTANT TREASURER/ASSISTANT FINANCIAL & OPERATIONS PRINCIPAL5714209
YAWORSKY, GEORGE M.TREASURER/FINANCIAL & OPERATIONS PRINCIPAL6425195

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

BESSEMER INVESTOR SERVICES, INC.

CRD#: 17442Atlanta, GA 30326

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