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JL

James G. Lightbourn

Some features on this profile are disabled
CRD#: 7570070
JL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Godfrey Lightbourn, who also goes by James G Lightbourn, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2022. James had 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

James G Lightbourn

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 28, 2022 - October 3, 2023

ARCTIC SECURITIES LLC

BD
CRD#: 174423
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 6/28/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/10/2022
Securities Industry Essentials Examination

Current Firm

AS
ARCTIC SECURITIES LLC
ARCTIC SECURITIES LLC

CRD#: 174423 / SEC#: , 8-69571

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

Main Address
45 Rockefeller Plaza Suite 1960, New York, NY 10124
Mailing Address
45 Rockefeller Plaza Suite 1960, New York, NY 10111
Phone number
(212) 597-5555
Established
Delaware since 10/24/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARCTIC SECURITIES HOLDINGS AS100% OWNER
AHLFELD, JAMES BFINOP, PFO, POO4955796
HOEN, AUDUN JOHANNESCEO, CCO, CFO,COO, HEAD OF INVESTMENT BANKING/HEAD OFSALES4940711

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

ARCTIC SECURITIES LLC

CRD#: 174423

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