AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

James A. Gregory

RMB SECURITIES (USA)
New York, NY 10019
Some features on this profile are disabled
CRD#: 7116490
JG

Professional summary

James Alexander Gregory is a registered financial professional currently at RMB SECURITIES (USA) INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2020. James has worked at 2 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

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 Alexander Gregory'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

February 4, 2025 - Present

RMB SECURITIES (USA) INC.

Office #1: 75 Rockefeller Plaza Suite 23a, New York, NY 10019
BD
CRD#: 314958
New York, NY
Past

February 25, 2020 - January 3, 2025

ABSA SECURITIES U.S. INC.

BD
CRD#: 299729
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
(2/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/19/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/29/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RMB SECURITIES (USA) INC.
RMB SECURITIES (USA) INC.

CRD#: 314958 / SEC#: , 8-70765

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
75 Rockefeller Plaza Suite 23a, New York, NY 10019
Mailing Address
75 Rockefeller Plaza Suite 23a, New York, NY 10019
Phone number
(917) 947-3111
Established
Delaware since 04/26/2021
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FIRSTRAND SECURITIES LIMITEDOWNER
CHIN, PHYLLIS NYUK FAHFINOP, PFO, POO6250921
GREGORY, JAMES ALEXANDERCHIEF EXECUTIVE OFFICER7116490
MEMBRENO, OSCAR ARMANDO JRCHIEF RISK OFFICER / SECRETARY / PRINCIPAL2261489
TURNER, EDEN KIERNANCCO6348203

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

RMB SECURITIES (USA) INC.

CRD#: 314958New York, NY 10019

TRUST BUT VERIFY

Monitor James Gregory

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics