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JT

James C. Taaffe

ABG
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 6752750
JT

Professional summary

James Carrington Taaffe, who also goes by James Taaffe, is a registered financial professional currently at ABG, 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 3 firms and has passed the Series 63, Series 82TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Taaffe

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 Carrington Taaffe'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

July 18, 2025 - Present

ABG, LLC

Office #1: 725 Fifth Avenue 24th Floor, New York, NY 10022
BD
CRD#: 167190
NEW YORK, NY
Past

May 30, 2018 - July 16, 2020

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

July 7, 2017 - June 1, 2018

PARK SUTTON ADVISORS, LLC

BD
CRD#: 149828
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
New York
(7/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/13/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 7/18/2025
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 5/9/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/7/2017
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AL
ABG, LLC
ABG SECURITIES, LLC | ABG, LLC

CRD#: 167190 / SEC#: , 8-69247

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

Main Address
725 Fifth Avenue 24th Floor, New York, NY 10022
Mailing Address
725 Fifth Avenue 24th Floor, New York, NY 10022
Phone number
(310) 531-3093
Established
Kansas since 01/22/2013
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
JCAE HOLDINGS LLCOWNER
DI PAOLA, JACQUELINE ANNCHIEF COMPLIANCE OFFICER4275625
EISENPRESSER, JACKSON CAESAR AMOSCHIEF EXECUTIVE OFFICER4902885
MARRONE, MICHAEL THOMASFINOP4859949

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

ABG, LLC

CRD#: 167190New York, NY 10022

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