James Dominick Taormina
Professional Summary
James Dominick Taormina, who also goes by James Taormina, is a registered financial advisor currently at HIGHWOOD SECURITIES LLC located in Oyster Bay, New York. James is registered as a RR (Registered Representative) and started their career in finance in 1981. James has worked at 18 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 79TO, Series 99TO, Series 82TO, SIE, Series 55, Series 7, Series 14, Series 53, Series 27, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Taormina
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
HIGHWOOD SECURITIES LLC
Contact Information
Main Address
62 Oak Hill Drive, Oyster Bay, NY 11771Mailing Address
62 Oak Hill Drive, Oyster Bay, NY 11771Phone Number
(516) 497-0300Established
New York since 08/13/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PINE HOLLOW HOLDINGS LLC | OWNER | — |
| TAORMINA, JAMES DOMINICK | PRESIDENT, CFO, CCO | 730139 |
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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.
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State Registrations and Notice Filings
(7/22/2021)
(5/31/2021)
(8/31/2023)
(9/7/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Dominick Taormina's CRS (Customer Relationship Summary).
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