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JM

Jamie C. Mcnaughton

DREXEL HAMILTON
New York, NY 10017
Some features on this profile are disabled
CRD#: 7488729
JM

Professional summary

Jamie Craig Mcnaughton is a registered financial professional currently at DREXEL HAMILTON, LLC located in New York, New York.

Jamie is registered as a RR (Registered Representative) and started their career in finance in 2022. Jamie 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

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 Jamie Craig Mcnaughton's CRS (Customer Relationship Summary).
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

September 15, 2022 - Present

DREXEL HAMILTON, LLC

Office #1: 110 East 42nd Street Suite 1502, New York, NY 10017
BD
CRD#: 143570
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
California
(10/19/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/19/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/15/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/24/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

DH
DREXEL HAMILTON, LLC
DREXEL HAMILTON, LLC

CRD#: 143570 / SEC#: , 8-67576

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

Main Address
110 East 42nd Street Suite 1502, New York, NY 10017
Mailing Address
110 East 42nd Street Suite 1502, New York, NY 10017
Phone number
(212) 632-0400
Established
Pennsylvania since 12/13/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (41 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FELICE, ANTHONY PHILIPCHIEF EXECUTIVE OFFICER4441607
DOLL, LAWRENCE KIRKOWNER5236486
ELSAS, ROGER DEWITTOWNER200659
FAY, MELISSA JO HILEROWNER5360445
MARTINKO, JOHN CHRISTOPHEROWNER5286067
KIM, HYUNG SOWNER5653676
BRENNAN, PAUL FRANCISCHIEF OPERATING OFFICER2170928
EDWARDS, JOHN WILLIAM JR.CHIEF FINANCIAL OFFICER/FINOP1757360
MAGEE, MARY BRENNANTRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015
SANOK, EDWARD WILLIAMCHIEF COMPLIANCE OFFICER6301272
THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015OWNER

Disclosures

Regulatory Event3

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

DREXEL HAMILTON, LLC

CRD#: 143570New York, NY 10017

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