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JW

James E. Wright

CONNAUGHT (U.S.)
LONDON, W1J 9EJ
Some features on this profile are disabled
CRD#: 6836616
JW

Professional summary

James Edward Wright is a registered financial professional currently at CONNAUGHT (U.S.) LLC .

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 Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Edward Wright'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

November 22, 2022 - Present

CONNAUGHT (U.S.) LLC

Office #1: 6th Floor West 170 Piccadilly, London, W1J 9EJ
BD
CRD#: 300401
LONDON,
Past

August 3, 2017 - October 9, 2020

BA SECURITIES, LLC

BD
CRD#: 153489
London,

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

State Security Law Exam
RR
Series 63
Date: 9/1/2017
Uniform Securities Agent 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: 8/3/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

C(
CONNAUGHT (U.S.) LLC
CONNAUGHT (U.S.) LLC

CRD#: 300401 / SEC#: , 8-70323

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
6th Floor West 170 Piccadilly, London, W1J 9EJ
Mailing Address
6th Floor West 170 Piccadilly, London, W1J 9EJ
Phone number
+44 20 7042 8097
Established
Delaware since 03/10/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CONNAUGHT INTERNATIONAL LIMITEDMEMBER
CHUNG, MICHAELFINOP/POO/PFO5739877
HENRY, RAHIMA AKHTERCO-CEO5769017
HUELIN, JAMES RICHARDCO-CEO7391107
KRUKOWSKI, JULIAN THEODORECHIEF COMPLIANCE OFFICER3070439

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

CONNAUGHT (U.S.) LLC

CRD#: 300401London, W1J 9EJ

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