AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JD

James S. Dolphin

AMA SECURITIES LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 7406554
JD

Professional summary

James Schroeder Dolphin is a registered financial professional currently at AMA SECURITIES LLC located in Stamford, Connecticut.

James is registered as a RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Schroeder Dolphin'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 11, 2022 - Present

AMA SECURITIES LLC

Office #1: 484 Pacific Street 3rd Floor, Stamford, CT 06902Office #2: 484 Pacific Street 3rd Floor, Stamford, CT 06902
BD
CRD#: 45988
Stamford, CT

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
Connecticut
(6/17/2022)
RR
New York
(5/11/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/11/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/4/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AMA SECURITIES LLC
AMA SECURITIES INC. | WEB CD SECURITIES, INC. | PARADIGM INTERNATIONAL SECURITIES, INC. | OPTIMIZEUSA SECURITIES INC. | IDC SECURITIES CORP.(SR) | IDC SECURITIES CORP. | IDC SECURITES CORP. | AMA SECURITIES LLC

CRD#: 45988 / SEC#: , 8-51263

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
484 Pacific Street 3rd Floor, Stamford, CT 06902
Mailing Address
484 Pacific Street 3rd Floor, Stamford, CT 06902
Phone number
(212) 682-3344
Established
New York since 07/02/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AMA CP HOLDINGS LLCSHAREHOLDER
BARENBOIM, LEONARDCCO1523181
GEORGE, KENNETH RONALDFINOP2643369
WEYERS, CHRISTOPHER JAMESCEO4084201

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

AMA SECURITIES LLC

CRD#: 45988Stamford, CT 06902

TRUST BUT VERIFY

Monitor James Dolphin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Brian Joseph Marchini
Brian MarchiniAdvisorCheck Check Mark
LPL ENTERPRISE, LLC
IAR
RR
White Plains, NY
Philip David Meese
Philip MeeseAdvisorCheck Check Mark
AE WEALTH MANAGEMENT, LLC
IAR
Darien, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics