James D. Taormina

HIGHWOOD SECURITIES LLC

Oyster Bay, NY 11771

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CRD#: 730139

Professional summary

James Dominick Taormina, who also goes by James Taormina, is a registered financial professional 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 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Taormina

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 Dominick Taormina'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

April 29, 2021 - Present

HIGHWOOD SECURITIES LLC

Office #1: 62 Oak Hill Drive, Oyster Bay, NY 11771

CRD#: 309938

Oyster Bay, NY

Past

March 14, 2023 - September 30, 2025

CURVATURE SECURITIES LLC

CRD#: 169708

CHATHAM, NJ

Past

March 29, 2018 - February 28, 2019

US TIGER SECURITIES, INC.

CRD#: 120583

Manhasset, NY

Past

April 2, 2015 - February 16, 2025

AXIA CAPITAL MARKETS, LLC

CRD#: 172245

New York, NY

Past

August 13, 2014 - March 27, 2015

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

June 12, 2012 - April 1, 2015

MARTEL CAPITAL, LLC

CRD#: 159049

NEW YORK, NY

Past

October 11, 2010 - July 30, 2012

MOMENTUM TRADING PARTNERS, LLC

CRD#: 140264

GREAT NECK, NY

Past

November 13, 2006 - November 17, 2006

MOMENTUM TRADING PARTNERS, LLC

CRD#: 140264

STATEN ISLAND, NY

Past

January 10, 2005 - October 12, 2010

SOUND SECURITIES, LLC

CRD#: 122677

JERICHO, NY

Past

September 30, 1998 - November 4, 1998

DUPONT SECURITIES GROUP, INC.

CRD#: 42305

NEW YORK, NY

Past

December 2, 1997 - September 8, 1998

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

September 19, 1997 - November 20, 1997

DUPONT SECURITIES GROUP, INC.

CRD#: 42305

NEW YORK, NY

Past

July 30, 1991 - September 30, 1997

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

Past

January 2, 1991 - July 5, 1991

J. GREGORY & COMPANY, INC.

CRD#: 14892

Past

December 14, 1989 - August 30, 2004

WINDHAM SECURITIES, INC.

CRD#: 20529

NEW YORK, NY

Past

September 25, 1989 - December 12, 1990

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

Past

August 13, 1986 - August 22, 1989

STRATTON SECURITIES, INC.

CRD#: 11658

Past

January 11, 1984 - June 19, 1985

DIVERSIFIED EQUITIES CORP.

CRD#: 14248

Past

November 19, 1982 - January 25, 1984

FITZGERALD, DEARMAN & ROBERTS, INC.

CRD#: 317

Past

May 18, 1981 - August 6, 1986

NORBAY SECURITIES INC.

CRD#: 5431

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(7/22/2021)

New York
(5/31/2021)

Ohio
(8/31/2023)

Texas
(9/7/2021)

Exams

State Security Law Exam

Series 63

Date: 11/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/14/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/16/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 53

Date: 2/5/1986

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 1/20/1982

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 4

Date: 11/20/1981

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/15/1981

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HIGHWOOD SECURITIES LLC

CRD#: 309938 / SEC#: , 8-70561

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

62 Oak Hill Drive, Oyster Bay, NY 11771

Mailing Address

62 Oak Hill Drive, Oyster Bay, NY 11771

Phone number

(516) 497-0300

Established

New York since 08/13/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PINE HOLLOW HOLDINGS LLC	OWNER
TAORMINA, JAMES DOMINICK	PRESIDENT, CFO, CCO	730139

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James D. Taormina

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Dominick Taormina's CRS (Customer Relationship Summary).

Certified licenses

Experience

CURVATURE SECURITIES LLC

US TIGER SECURITIES, INC.

AXIA CAPITAL MARKETS, LLC

OSCAR GRUSS & SON INCORPORATED

MARTEL CAPITAL, LLC

MOMENTUM TRADING PARTNERS, LLC

MOMENTUM TRADING PARTNERS, LLC

SOUND SECURITIES, LLC

DUPONT SECURITIES GROUP, INC.

JOSEPH STEVENS & CO., INC.

DUPONT SECURITIES GROUP, INC.

CONTINENTAL BROKER-DEALER CORP.

J. GREGORY & COMPANY, INC.

WINDHAM SECURITIES, INC.

STRATTON OAKMONT INC.

STRATTON SECURITIES, INC.

DIVERSIFIED EQUITIES CORP.

FITZGERALD, DEARMAN & ROBERTS, INC.

NORBAY SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/12/1981

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/14/2000

Series 7

Date: 5/16/1981

Series 14

Date: 1/2/2023

Series 53

Date: 2/5/1986

Series 27

Date: 1/20/1982

Series 4

Date: 11/20/1981

Series 24

Date: 10/15/1981

FINRA

Current Firm

HIGHWOOD SECURITIES LLC

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

HIGHWOOD SECURITIES LLC

TRUST BUT VERIFY

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