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270 Park Avenue, New York, NY 10017 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-18 |
| TX | RA | APPROVED_RES | 2021-10-18 |
Branch Locations
124 Route 303, Valley Cottage, NY 10989 • United States
56 Lake Road, Congers, NY 10920 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of America, N.A. | West Palm Beach | FL | 07/2016 | 10/2021 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | West Palm Beach | FL | 07/2016 | 10/2021 |
| J.P. Morgan Securities Llc | Nyack | NY | 10/2021 | Present |
| Jp Morgan Chase Bank, N.A. | Nyack | NY | 10/2021 | Present |
| Carter James Properties Llc | Palm Beach Gardens | FL | 01/2021 | Present |
| Carter James Properties Llc | New Windsor | NY | 11/2021 | Present |
| Carter James Properties Llc | Palm Beach | FL | 12/2021 | Present |
| Carter James Properties Llc | Middletown | NY | 08/2022 | 11/2023 |
Entity Name: Joseph Dailey Investment related: No "Address: Rock tavern, NY 12575" Nature of the other business: Landlord Position/Title/Relationship: Owner/Partner Start Date: 01/01/2022 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: my in laws live in my basement and pay me a rent of 1500 Entity Name: Carter James Properties LLC Investment related: N Address: Royal Palm Beach, FL 33411 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 12/22/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Landlord/ rental property Entity Name: Carter James Properties llc Investment related: N Address: New Windsor, NY 12553 Nature of the other business: Real Estate Position/Title/Relationship: Owner/Partner Start Date: 11/16/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: rental property, Landlord estimated closing 12/15/21" Entity Name: CJD Designs LLC Investment related: N "Address: rock tavern, ny 12575" Nature of the other business: Woodworking Position/Title/Relationship: Owner/Partner Start Date: 11/30/2015 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: small woodworking business and hobby. there are commissioned pieces I create as well, no employees. I do this out of my home garage. www.cjddesignsllc.com I am a new hire and disclosing this now" Entity Name: Carter James Properties llc Investment related: N Address: palm beach gardens, fl 33410 Nature of the other business: Real Estate Position/Title/Relationship: Owner/ Partner Start Date: 01/26/2021 Approximate # of hours a month: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Owner- rental property
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-02 |
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