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JT

James C. Thomas

BAILLIE GIFFORD FUNDS SERVICES LLC
Edinburgh, EH1 3AN
Some features on this profile are disabled
CRD#: 7157973
JT

Professional summary

James Christian William Thomas, who also goes by Jamie Thomas, is a registered financial professional currently at BAILLIE GIFFORD FUNDS SERVICES LLC .

James is registered as a RR (Registered Representative) and started their career in finance in 2019. James has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Thomas

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 Christian William Thomas'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

September 13, 2019 - Present

BAILLIE GIFFORD FUNDS SERVICES LLC

Office #1: Calton Square 1 Greenside Row, Edinburgh, EH1 3ANOffice #2: Calton Square 1 Greenside Row, Edinburgh, EH1 3AN
BD
CRD#: 171147
Edinburgh,

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
Colorado
(9/13/2019)
RR
District of Columbia
(9/13/2019)
RR
Florida
(9/13/2019)
RR
Louisiana
(9/13/2019)
RR
Maryland
(9/13/2019)
RR
Ohio
(9/13/2019)
RR
Puerto Rico
(9/13/2019)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 9/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/12/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/17/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BG
BAILLIE GIFFORD FUNDS SERVICES LLC
BAILLIE GIFFORD FUNDS SERVICES LLC

CRD#: 171147 / SEC#: , 8-69448

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

Main Address
Calton Square 1 Greenside Row, Edinburgh, EH1 3AN
Mailing Address
Calton Square 1 Greenside Row, Edinburgh, EH1 3AN
Phone number
0044 131 275 2000
Established
Delaware since 02/14/2014
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BAILLIE GIFFORD OVERSEAS LTDPARENT COMPANY110296
ARCHIBALD, LESLEY-ANNE MARGARETNON EXECUTIVE DIRECTOR6704278
ARCHIBALD, LESLEY-ANNE MARGARETCHAIRPERSON6704278
HAMILTON, KATHRINNON-EXECUTIVE DIRECTOR4797514
MAZUR, CLARE CAMBRIANON-EXECUTIVE DIRECTOR5170345
PARISE, JANICE DRUCFO2338583
PORTEOUS, GARRYDIRECTOR6912188
PORTEOUS, GARRYCCO6912188
ROSS, KRISTEN MICHELLENON-EXECUTIVE DIRECTOR5953098
WOOD, NICK BERNARDDIRECTOR6709554
WOOD, NICK BERNARDCEO6709554

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

BAILLIE GIFFORD FUNDS SERVICES LLC

CRD#: 171147Edinburgh, EH1 3AN

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