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James Michael Ying

Barclays Capital Inc.

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About James Michael Ying

James Michael Ying is a financial advisor with Barclays Capital Inc. James has been in the industry since 2002. James is registered with the state of New York. James has Series 63, 10, 9, 7 and SIE licenses. Prior to working at Barclays Capital Inc, James held positions at Goldman, Sachs & Co., J.P. Morgan Securities LLC, Sanford C. Bernstein & Co., LLC, CITICORP INVESTMENT SERVICES, QUICK & REILLY, INC., and S.G. MARTIN SECURITIES LLC.

Firm Information

James Ying 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 Ying’s Registration & Firm History

NY

06/16/2014 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

05/20/2011 - 11/29/2012

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

06/20/2006 - 05/20/2011

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

02/15/2005 - 06/08/2006

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

01/02/2001 - 02/03/2005

CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)

NY

11/22/2000 - 01/12/2001

QUICK & REILLY, INC. (NEW YORK NY)

NY

05/03/2000 - 08/31/2000

S.G. MARTIN SECURITIES LLC (JERICHO NY)

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Licenses & Designations

BC

Issued 05/19/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/16/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/25/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/2000

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 Ying.
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