James Amurao
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Amurao, who also goes by James R Amurao, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2017. James had worked at 4 firms and has passed the Series 63, Series 3, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2026 - September 11, 2026
TRADEPMR BY ROBINHOOD
January 3, 2025 - September 11, 2026
ROBINHOOD SECURITIES, LLC
February 19, 2020 - September 11, 2026
ROBINHOOD FINANCIAL, LLC
August 8, 2017 - January 21, 2020
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 8/14/2024
Operations Professional ExaminationCurrent Firm
TRADEPMR BY ROBINHOOD
CRD#: 46350 / SEC#: , 8-51390
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GATOR MERGER SUB II, LLC | SHAREHOLDER | |
| BALDWIN, ROBB WALLER | CHIEF EXECUTIVE OFFICER | 1409477 |
| DILBONE, ROBERT POTTER JR | CHIEF REVENUE OFFICER | 5893751 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 3103432 |
| LEGACY, ELIZABETH | CHIEF COMPLIANCE OFFICER | 4368139 |
| QUIRK, STEVEN MARK | DIRECTOR | 2728768 |
| VICTORIA, RICHARD SCOTT | PRESIDENT & CHIEF OPERATING OFFICER | 5371275 |
Disclosures
| Regulatory Event | 3 |
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.
