JA
Jennifer J. Alper
THOMA BRAVO CAPITAL MARKETS
Chicago, IL 60606-1511
Some features on this profile are disabled
CRD#: 7309562
JA
Professional summary
Jennifer James Alper, who also goes by Jennifer Ann James, Jennifer James, is a registered financial professional currently at THOMA BRAVO CAPITAL MARKETS, LLC located in Chicago, Illinois.
Jennifer is registered as a RR (Registered Representative) and started their career in finance in 2021. Jennifer has worked at 1 firm and has passed the Series 63, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jennifer Ann James | Jennifer James
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.
CRS (Client Relationship Summary) - BD
Click below to view Jennifer James Alper'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®
NoneExperience
Current
July 23, 2021 - Present
THOMA BRAVO CAPITAL MARKETS, LLC
Office #1: 110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511Office #2: One Market Plaza Spear Tower, Suite 2400, San Francisco, CA 94105-1420Office #3: Norfolk House 31 St. James's Square 6th Floor, London, SW1Y 4JRBD
CRD#: 311317
Chicago, IL
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
Alabama(10/19/2021)
RR
Alaska(10/19/2021)
RR
Arizona(10/20/2021)
RR
Arkansas(10/12/2021)
RR
California(9/30/2021)
RR
Colorado(9/30/2021)
RR
Connecticut(10/26/2021)
RR
Delaware(10/25/2021)
RR
District of Columbia(9/29/2021)
RR
Florida(11/9/2021)
RR
Georgia(8/19/2021)
RR
Hawaii(10/1/2021)
RR
Idaho(9/30/2021)
RR
Illinois(9/29/2021)
RR
Indiana(11/18/2021)
RR
Iowa(8/19/2021)
RR
Kansas(9/29/2021)
RR
Kentucky(10/18/2021)
RR
Louisiana(10/18/2021)
RR
Maine(9/30/2021)
RR
Maryland(8/27/2021)
RR
Massachusetts(8/18/2021)
RR
Michigan(7/23/2021)
RR
Minnesota(11/22/2021)
RR
Mississippi(9/30/2021)
RR
Missouri(10/12/2021)
RR
Montana(8/9/2021)
RR
Nebraska(9/2/2021)
RR
Nevada(10/18/2021)
RR
New Hampshire(10/15/2021)
RR
New Jersey(10/5/2021)
RR
New Mexico(10/5/2021)
RR
New York(10/16/2021)
RR
North Carolina(10/13/2021)
RR
North Dakota(10/15/2021)
RR
Ohio(7/26/2021)
RR
Oklahoma(9/29/2021)
RR
Oregon(10/11/2021)
RR
Pennsylvania(9/30/2021)
RR
Puerto Rico(9/29/2021)
RR
Rhode Island(8/11/2021)
RR
South Carolina(10/21/2021)
RR
South Dakota(7/23/2021)
RR
Tennessee(10/18/2021)
RR
Texas(10/8/2021)
RR
Utah(7/28/2021)
RR
Vermont(10/4/2021)
RR
Virgin Islands(11/8/2021)
RR
Virginia(10/15/2021)
RR
Washington(10/20/2021)
RR
West Virginia(11/3/2021)
RR
Wisconsin(9/29/2021)
RR
Wyoming(10/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/19/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TB
THOMA BRAVO CAPITAL MARKETS, LLC
THOMA BRAVO CAPITAL MARKETS, LLC
CRD#: 311317 / SEC#: , 8-70612
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Phone number
(312) 254-3300
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMA BRAVO ADVISERS, L.P. | MEMBER | |
| ALPER, JENNIFER JAMES | PRINCIPAL, INVESTOR RELATIONS & MARKETING | 7309562 |
| KRZAK, ALEXANDER JACOB | PRINCIAL OPERATIONS OFFICER | 6349160 |
| MOCK, ERWIN HECTOR | PRINCIPAL, HEAD OF CAPITAL MARKETS | 4236454 |
| PORTNOFF, DAVID ROSS | FIN OP, PRINCIPAL FINANCIAL OFFICER | 2977967 |
| SCHWAB, STEVEN ANTHONY | SENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 4589027 |
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.
