JH
James R. Huelin
CONNAUGHT (U.S.) LLC
London, W1D 3BG
Some features on this profile are disabled
CRD#: 7391107
JH
Professional summary
James Richard Huelin is a registered financial professional currently at CONNAUGHT (U.S.) LLC .
James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 1 firm and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 James Richard Huelin'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 9, 2021 - Present
CONNAUGHT (U.S.) LLC
Office #1: 2 Soho Place, London, W1D 3BGBD
CRD#: 300401
London,
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(3/3/2025)
RR
Alaska(3/21/2023)
RR
Arizona(3/3/2025)
RR
Arkansas(3/3/2025)
RR
California(3/21/2023)
RR
Colorado(3/21/2023)
RR
Connecticut(3/21/2023)
RR
Delaware(3/21/2023)
RR
District of Columbia(3/21/2023)
RR
Florida(3/21/2023)
RR
Georgia(3/21/2023)
RR
Hawaii(3/3/2025)
RR
Idaho(3/3/2025)
RR
Illinois(3/21/2023)
RR
Indiana(3/21/2023)
RR
Iowa(3/3/2025)
RR
Kansas(3/3/2025)
RR
Kentucky(3/3/2025)
RR
Louisiana(3/3/2025)
RR
Maine(3/3/2025)
RR
Maryland(3/21/2023)
RR
Massachusetts(3/21/2023)
RR
Michigan(3/21/2023)
RR
Minnesota(3/21/2023)
RR
Mississippi(3/3/2025)
RR
Missouri(3/21/2023)
RR
Montana(3/21/2023)
RR
Nebraska(3/3/2025)
RR
Nevada(3/3/2025)
RR
New Hampshire(3/21/2023)
RR
New Jersey(3/21/2023)
RR
New Mexico(3/3/2025)
RR
New York(3/2/2023)
RR
North Carolina(3/21/2023)
RR
North Dakota(3/3/2025)
RR
Ohio(3/22/2023)
RR
Oklahoma(3/21/2023)
RR
Oregon(3/3/2025)
RR
Pennsylvania(3/21/2023)
RR
Puerto Rico(3/3/2025)
RR
Rhode Island(3/3/2025)
RR
South Carolina(3/3/2025)
RR
South Dakota(3/3/2025)
RR
Tennessee(3/3/2025)
RR
Texas(3/21/2023)
RR
Utah(3/3/2025)
RR
Vermont(3/3/2025)
RR
Virginia(3/21/2023)
RR
Washington(3/21/2023)
RR
West Virginia(3/3/2025)
RR
Wisconsin(3/21/2023)
RR
Wyoming(3/3/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 7/12/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/24/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/16/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
C(
CONNAUGHT (U.S.) LLC
CONNAUGHT (U.S.) LLC
CRD#: 300401 / SEC#: , 8-70323
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
2 Soho Place, London, W1D 3BG
Mailing Address
2 Soho Place, London, W1D 3BG
Phone number
+44 20 7042 8097
Established
Delaware since 03/10/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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