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JY

James S. Yates

JETT CAPITAL ADVISORS
New York, NY 10019
Some features on this profile are disabled
CRD#: 7370372
JY

Professional summary

James Scott Yates, who also goes by James S Yates, is a registered financial professional currently at JETT CAPITAL ADVISORS, LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James S Yates

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 Scott Yates'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

May 23, 2023 - Present

JETT CAPITAL ADVISORS, LLC

Office #1: 712 Fifth Avenue 11th Floor, New York, NY, 10019
BD
CRD#: 169127
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
(7/26/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/26/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/23/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

JC
JETT CAPITAL ADVISORS, LLC
JETT CAPITAL ADVISORS, LLC

CRD#: 169127 / SEC#: , 8-69353

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

Main Address
712 Fifth Avenue 11th Floor, New York, NY, 10019
Mailing Address
712 Fifth Avenue 11th Floor, New York, NY, 10019
Phone number
(212) 616-0423
Established
Delaware since 08/19/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JETT CAPITAL ADVISORS HOLDINGS, LLCOWNER
RIGGIO, JOSEPH ANTHONYCEO, PARTNER2801840
GRAY, JOHN CLARKECFO & FINOP; PFO, POO1367440
LEE, VIVIANCHIEF COMPLIANCE OFFICER1522522

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

JETT CAPITAL ADVISORS, LLC

CRD#: 169127New York, NY 10019

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