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JH

James C. Herbert

REDI GLOBAL TECHNOLOGIES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 7435978
JH

Professional summary

James Charles Herbert Jr., who also goes by James Charles Herbert, Jay Herbert, is a registered financial professional currently at REDI GLOBAL TECHNOLOGIES LLC located in New York, New York.

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 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Charles Herbert | Jay Herbert

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 Charles Herbert Jr.'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

August 19, 2022 - Present

REDI GLOBAL TECHNOLOGIES LLC

Office #1: 28 Liberty Street 58th Floor, New York, NY, 10005
BD
CRD#: 41924
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
Georgia
(11/17/2022)
RR
New York
(11/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/24/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

RG
REDI GLOBAL TECHNOLOGIES LLC
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC

CRD#: 41924 / SEC#: , 8-49673

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

Main Address
28 Liberty Street 58th Floor, New York, NY, 10005
Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005
Phone number
(646) 794-7364
Established
New York since 09/13/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
REFINITIV US LLCOWNER
BALTOVSKI, ALEXANDER NMNFINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO2350828
CUTLER, SETHDIRECTOR2594208
IAMSCICOV WEIGL, KATARINACHIEF COMPLIANCE OFFICER AND SECRETARY7893210
MALONEY, MICHAEL GDIRECTOR, CEO, MANAGING PRINCIPAL5728423
SIBLEY, JOHN HOLDENDIRECTOR5781488

Disclosures

Regulatory Event7

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

REDI GLOBAL TECHNOLOGIES LLC

CRD#: 41924New York, NY 10005

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