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James Michael Paviolitis

Barclays Capital Inc.

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About James Michael Paviolitis

James Paviolitis is a financial professional with over 20 years of experience in the industry. James has a broad range of experience having worked for a number of firms including Lehman Brothers Inc., Deutsche Bank Securities Inc. and Piper Jaffray & Co. James currently works at Barclays Capital Inc. and is registered in New York. James has a strong background in securities and investments and holds Series 7, Series 63, Series 99TO and SIE licenses.

Firm Information

James Paviolitis is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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 Paviolitis’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

12/05/2007 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

12/14/2005 - 10/10/2006

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

MN

01/13/2004 - 10/08/2004

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

NJ

10/14/2003 - 12/19/2003

MELLON SECURITIES LLC (JERSEY CITY NJ)

MO

07/01/2003 - 10/21/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

06/19/2001 - 07/01/2003

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MO

02/14/2001 - 08/23/2001

FIRST UNION SECURITIES, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 03/30/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/13/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Michael Paviolitis.
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