James D. Meekins
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 Dennis Meekins, CFA was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2018. James had worked at 4 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 7, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2021 - August 21, 2023
VELOCITY CLEARING, LLC
November 21, 2019 - July 21, 2021
RISE FINANCIAL SERVICES, LLC
October 1, 2019 - November 26, 2019
GOLDMAN SACHS & CO. LLC
April 18, 2018 - October 8, 2019
MERCER ALLIED COMPANY, L.P.
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 57TO
Date: 1/14/2022
Securities Trader ExamCurrent Firm
VELOCITY CLEARING, LLC
CRD#: 126588 / SEC#: , 8-65894
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
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.
