James R. Bayne
Professional summary
James Robert Bayne, who also goes by Jay Bayne, is a registered financial professional currently at ETC BROKERAGE SERVICES, LLC located in Dallas, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 11 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 3, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Robert Bayne's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
ETC BROKERAGE SERVICES, LLC
Office #1: Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240November 18, 2022 - January 10, 2024
CHARLES SCHWAB & CO., INC.
April 2, 2015 - December 20, 2023
TD AMERITRADE, INC.
April 2, 2015 - December 20, 2023
TD AMERITRADE CLEARING, INC.
September 4, 2012 - March 24, 2015
ESPOSITO SECURITIES, LLC
October 6, 2010 - July 31, 2012
PENSON FINANCIAL SERVICES, INC.
August 9, 2007 - January 4, 2010
CAPIS
June 18, 2003 - October 20, 2006
CAPIS
October 10, 2002 - June 4, 2003
MAY FINANCIAL CORPORATION
May 19, 1999 - July 23, 2002
HILLTOP SECURITIES INC.
March 3, 1993 - October 21, 1998
HILLTOP SECURITIES INC.
April 23, 1991 - August 5, 1992
TRADESTAR INVESTMENTS,INC.
March 15, 1990 - September 25, 1990
FIRST INTERSTATE DISCOUNT BROKERAGE
January 24, 1989 - February 6, 1990
TRADESTAR INVESTMENTS,INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 52TO
Date: 7/12/2024
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/15/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
ETC BROKERAGE SERVICES, LLC
CRD#: 145276Dallas, TX 75240TRUST BUT VERIFY
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