Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Taormina is a financial advisor with over 40 years of experience in the industry. James has worked for a number of firms including Curvature Securities LLC, Highwood Securities LLC, and Axia Capital Markets, LLC. James is a registered representative in six states. James is a general securities representative, a municipal securities representative, a securities trader, an investment banking registered representative, a limited representative for private securities offerings, and a limited representative for equity traders. James has a Series 63, Series 14, Series 53, Series 27, Series 4, Series 24, Series 52TO, Series 57TO, Series 79TO, Series 99TO, Series 82TO, Series 55 and Series 7 licenses. James is committed to providing his clients with the best possible service and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NJ
03/14/2023 - Present
Curvature Securities LLC (Chatham NJ)
NY
03/29/2018 - 02/28/2019
US TIGER SECURITIES, INC. (Manhasset NY)
NY
06/12/2012 - 04/01/2015
MARTEL CAPITAL, LLC (NEW YORK NY)
NY
08/13/2014 - 03/27/2015
OSCAR GRUSS & SON INCORPORATED (NEW YORK NY)
NY
10/11/2010 - 07/30/2012
MOMENTUM TRADING PARTNERS, LLC (GREAT NECK NY)
NY
01/10/2005 - 10/12/2010
SOUND SECURITIES, LLC (JERICHO NY)
NY
11/13/2006 - 11/17/2006
RICHMOND SECURITIES, LLC (STATEN ISLAND NY)
NY
12/14/1989 - 08/30/2004
WINDHAM SECURITIES, INC. (NEW YORK NY)
NY
09/30/1998 - 11/04/1998
DUPONT SECURITIES GROUP, INC. (NEW YORK NY)
NY
12/02/1997 - 09/08/1998
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
NY
09/19/1997 - 11/20/1997
DUPONT SECURITIES GROUP, INC. (NEW YORK NY)
NY
07/30/1991 - 09/30/1997
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
NA
01/02/1991 - 07/05/1991
J. GREGORY & COMPANY, INC.
NY
09/25/1989 - 12/12/1990
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
NA
08/13/1986 - 08/22/1989
STRATTON SECURITIES, INC.
NA
05/18/1981 - 08/06/1986
NORBAY SECURITIES INC.
NA
01/11/1984 - 06/19/1985
DIVERSIFIED EQUITIES CORP.
NA
11/19/1982 - 01/25/1984
FITZGERALD, DEARMAN & ROBERTS, INC.
BC
Issued 11/12/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/05/1986
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/20/1982
Series 27 - Financial and Operations Principal Examination
BC
Issued 11/20/1981
Series 4 - Registered Options Principal Examination
BC
Issued 10/15/1981
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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