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FIRM PROFILE
Overview
CITIZENS JMP SECURITIES, LLC is located at 101 California Street Ste 1700, San Francisco, CA 94111 and was first established at San Francisco, Delaware in 01/01/2002. After operating for 24 years, CITIZENS JMP SECURITIES, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of CITIZENS JMP SECURITIES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. CITIZENS JMP SECURITIES, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at CITIZENS JMP SECURITIES, LLC are registered to handle securities or provide financial advice. The firm has 6 disclosures, 6 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access CITIZENS JMP SECURITIES, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at CITIZENS JMP SECURITIES, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for CITIZENS JMP SECURITIES, LLC Comes From
Understanding the Statistics for CITIZENS JMP SECURITIES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
101 California Street Ste 1700, San Francisco, CA 94111
101 California Street Ste 1700, San Francisco, CA 94111
Medium
(415) 835-8900
Delaware since 01/01/2002
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | ||
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 | |
| GREGORY, JOHN | PRESIDENT | 4600619 | |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 | |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 | |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 | |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 | |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 | |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 | |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 | |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 | |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
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Advisor's working at CITIZENS JMP SECURITIES, LLC
Mark Ragucci
Lu Chang
Jason Fukumoto
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