James Andrew Means

Employer firm

Wilmington Capital Securities, LLC CRD 133839

$277M regulatory AUM 177 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers

Wilmington Capital Securities, Llc

666 Old Country Road Suite 505, Garden City, NY 11530 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2019-06-10

FL RA
APPROVED

Since 2019-06-10

Branch Locations

666 Old Country Road Suite 505, Garden City, NY 11530 • USA

Bonita Springs, FL • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Naples	FL	03/2008	05/2019
Wilmington Capital Securities, Llc	Garden City	NY	05/2019	Present

03/2008 → 05/2019

Rbc Capital Markets, Llc

Naples, FL
05/2019 → Present

Wilmington Capital Securities, Llc

Garden City, NY

Previous Registrations

2005-04-17 → 2019-06-12

Rbc Capital Markets, Llc

Milwaukee, WI

Milwaukee, WI

Naples, FL

Other Businesses

JAMIV1953, LLC, 4801 Island Pond Court, #403, Bonita Springs, FL 34134, Investment Related, President and Owner of OSJ of Wilmington Capital Securities LLC, May 31 2019, 160 hours per month, 8 hours per day during market hours.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-21
S63	Uniform Securities Agent State Law Examination	1980-09-19

S65 Uniform Investment Adviser Law Examination

1999-12-21
S63 Uniform Securities Agent State Law Examination

1980-09-19

View on SEC IAPD