James A. Miers
Professional summary
James Anthony Miers, who also goes by James Miers, James Anthony Miers, is a registered financial professional currently at DZ FINANCIAL MARKETS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2024. James has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Miers's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2024 - Present
DZ FINANCIAL MARKETS LLC
Office #1: One Vanderbilt 49th Floor, New York, NY 10017State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/4/2024)
Exams
Series 79TO
Date: 7/12/2024
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 5/10/2024
General Securities Representative ExaminationFINRA
Current Firm
DZ FINANCIAL MARKETS LLC
CRD#: 47098 / SEC#: , 8-51687
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DZ BANK AG DEUTSCHE ZENTRAL-GENOSSENSCHAFTSBANK FRANKFURT AM MAIN (DZ BANK AG) | SHAREHOLDER | |
| ENGLERT, CHRISTIAN | DIRECTOR - BOARD MEMBER | 7938811 |
| KATTAN, EMILE | CHIEF COMPLIANCE OFFICER | 5080805 |
| KWAN, SAUPING | FINOP | 2314707 |
| MCCANN, NORAH ELIZABETH MS | DIRECTOR | 5081651 |
| ORTOLF, HELMUT PIUS | DIRECTOR - BOARD MEMBER | |
| SUMMERER, GERHARD JR | PRESIDENT | 2662173 |
Red Flags
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