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James Drew Finlayson

Elequin Securities LLC

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About James Drew Finlayson

James Finlayson is a financial professional with over 20 years of experience in the financial services industry. James has held various roles at prominent firms including Maple Securities U.S.A. Inc. and Maple Arbitrage Inc. James is currently registered with Elequin Securities LLC and holds several licenses including Series 3, 4, 7, 24, 27, 55 and 63. James is dedicated to providing comprehensive financial advice to individuals and families.

Firm Information

James Finlayson is currently registered with Elequin Securities LLC. Elequin Securities LLC is a Limited Liability Company formed on April 7, 2020. The firm has received approval for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

6

Total Financial Advisors

Services Offered

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.

Fee Structure

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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James Finlayson’s Registration & Firm History

NY

07/07/2023 - Present

Elequin Securities LLC (New York NY)

NJ

02/08/1999 - 04/28/2017

MAPLE SECURITIES U.S.A. INC. (JERSEY CITY NJ)

NJ

03/08/2000 - 10/17/2003

MAPLE ARBITRAGE INC. (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 11/11/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/07/2023

Series 27 - Financial and Operations Principal Examination

BC

Issued 08/12/2002

Series 4 - Registered Options Principal Examination

BC

Issued 03/09/1999

Series 24 - General Securities Principal Examination

BC

Issued 08/03/2023

Series 3 - National Commodity Futures Examination

BC

Issued 04/28/2017

SIE - Securities Industry Essentials Examination

BC

Issued 04/13/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/05/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

Disclosures

There are no public disclosures for James Drew Finlayson.
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