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JC

James D. Clarke

BNY MELLON CAPITAL MARKETS
New York, NY 10286
Some features on this profile are disabled
CRD#: 6746345
JC

Professional summary

James D Clarke, who also goes by James David Clarke, James Clarke, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2017. James has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James David Clarke | James Clarke

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 D Clarke'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®
None

Experience

Current

September 27, 2021 - Present

BNY MELLON CAPITAL MARKETS, LLC

Office #1: 240 Greenwich Street, New York, NY 10286
BD
CRD#: 17454
New York, NY
Past

May 26, 2017 - April 6, 2021

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 5/26/2017
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

BM
BNY MELLON CAPITAL MARKETS, LLC
BNY CAPITAL MARKETS | MELLON INVESTMENT PRODUCTS COMPANY | MELLON FINANCIAL SERVICES CORPORATION | MELLON FINANCIAL MARKETS, LLC | MELLON FINANCIAL MARKETS, INC. | BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454 / SEC#: , 8-35255

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

Main Address
240 Greenwich Street, New York, NY 10286
Mailing Address
240 Greenwich Street 3rd Floor, New York, NY 10286
Phone number
(212) 815-4972
Established
Delaware since 12/29/1999
Firm type
Limited Liability Company
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

Direct owners and executive officers

NamePositionCRD#
BNY CAPITAL MARKETS HOLDINGS, INC.SOLE SHAREHOLDER
BARYSH, ROBERT PHILIPCHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER2800329
DUFFANY, STEPHEN JOHNCHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)2535640
GOODHEART, JOHNBOARD OF MANAGERS2419623
HIGGINS, ALISON MATTHESENBOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO)6718782
KLINGER, DANIEL ADAMBOARD OF MANAGERS2983871
LYNCH, ROBERT EBOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO)2981333
MCCORMICK, JEFFREYBOARD OF MANAGERS5261504
SKOKO, DRAGANBOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO)4394961

Disclosures

Regulatory Event24
Arbitration1

Red Flags

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Company Information

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454New York, NY 10286

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