James R. Valente

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CRD#: 703860

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 Robert Valente JR, who also goes by Jim Valente Jr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1980. James had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 24 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Valente Jr

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 2, 2014 - October 14, 2020

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

September 20, 2010 - December 31, 2012

IRC SECURITIES LLC

CRD#: 150022

NEW YORK, NY

Past

January 13, 2010 - June 24, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

NEW YORK, NY

Past

August 29, 2000 - April 24, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 10, 2000 - April 28, 2006

INSTITUTIONAL DIRECT INC.

CRD#: 23019

NEW YORK, NY

Past

March 18, 1998 - June 21, 2000

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

May 31, 1996 - March 17, 1998

RODMAN & RENSHAW INC.

CRD#: 724

CHICAGO, IL

Past

May 3, 1993 - May 8, 1995

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

November 23, 1992 - May 4, 1993

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

Past

July 12, 1990 - October 27, 1992

INVESTMENT PARTNERS, INC.

CRD#: 21928

PLAINFIELD, NJ

Past

June 6, 1989 - June 26, 1990

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 2, 1988 - August 15, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

June 21, 1984 - May 12, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

January 19, 1980 - June 21, 1984

ADVEST, INC.

CRD#: 10

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

Series 63

Date: 5/22/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 6/26/2001

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 6/19/2001

General Securities Sales Supervisor - General Module Examination

Current Firm

IRC SECURITIES LLC

INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

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

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Contact information

Main Address

420 Lexington Avenue Suite 300, New York, NY 10170

Mailing Address

420 Lexington Avenue Suite 300, New York, NY 10170

Phone number

(646) 355-0940

Established

Delaware since 06/30/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
INVESTMENT RESEARCH CONSORTIUM	100% OWNER
COOPER, NANCY JOAN	FINANCIAL OPERATIONS PRINCIPAL	4029120
O'DAY, BRIAN THOMAS	CEO/PRESIDENT/CCO	1331173

Disclosures

Regulatory Event

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.

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Firm Stability Insights

James R. Valente

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IRC SECURITIES LLC

LIGHTHOUSE FINANCIAL GROUP, LLC

J.P. MORGAN SECURITIES LLC

INSTITUTIONAL DIRECT INC.

BREAN MURRAY & CO., INC.

RODMAN & RENSHAW INC.

INTESA SANPAOLO IMI SECURITIES CORP.

BREAN MURRAY & CO., INC.

INVESTMENT PARTNERS, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

ADVEST, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/1986

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1980

Series 9

Date: 6/26/2001

Series 24

Date: 6/21/2001

Series 10

Date: 6/19/2001

Current Firm

IRC SECURITIES LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

IRC SECURITIES LLC

TRUST BUT VERIFY

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