James A. Tricarico
Director/Board Member at Securities Industry & Financial Markets Association, Inc.
Profile
James A.
Tricarico is currently a Director at Securities Industry & Financial Markets Association, Inc. He was previously the Chief Compliance Officer & General Counsel at The Jones Financial Cos.
LLLP from 2010 to 2013.
He also served as a Member-National Arbitration & Mediation Committee at Financial Industry Regulatory Authority, Inc. Mr. Tricarico received his undergraduate degree from Fordham University and his graduate degree from New York Law School.
James A. Tricarico active positions
| Companies | Position | Start |
|---|---|---|
Securities Industry & Financial Markets Association, Inc.
 Securities Industry & Financial Markets Association, Inc. Miscellaneous Commercial ServicesCommercial Services Securities Industry & Financial Markets Association, Inc. (SIFMA) is an organization that represents the securities industry in the United States. The private company is based in New York, NY and has subsidiaries in the United States. The company's main focus is advocating for effective and resilient capital markets. The CEO of the company is Kenneth E. Bentsen. | Director/Board Member | 2010-07-07 |
Former positions of James A. Tricarico
| Companies | Position | End |
|---|---|---|
Financial Industry Regulatory Authority, Inc.
 Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Corporate Officer/Principal | - |
The Jones Financial Cos. LLLP
 The Jones Financial Cos. LLLP Investment Banks/BrokersFinance The Jones Financial Cos. LLLP engages in the provision of securities brokerage services. It operates under the United States and Canada geographical segments. The company was founded on June 5, 1987 and is headquartered in St. Louis, MO. | General Counsel | - |
Training of James A. Tricarico
| Fordham University | Undergraduate Degree |
| New York Law School | Graduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 3 |
|---|---|
The Jones Financial Cos. LLLP
The Jones Financial Cos. LLLP Investment Banks/BrokersFinance The Jones Financial Cos. LLLP engages in the provision of securities brokerage services. It operates under the United States and Canada geographical segments. The company was founded on June 5, 1987 and is headquartered in St. Louis, MO. | Finance |
Securities Industry & Financial Markets Association, Inc.
Securities Industry & Financial Markets Association, Inc. Miscellaneous Commercial ServicesCommercial Services Securities Industry & Financial Markets Association, Inc. (SIFMA) is an organization that represents the securities industry in the United States. The private company is based in New York, NY and has subsidiaries in the United States. The company's main focus is advocating for effective and resilient capital markets. The CEO of the company is Kenneth E. Bentsen. | Commercial Services |
Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc. Investment Banks/BrokersFinance Financial Industry Regulatory Authority, Inc. engages in the provision of securities regulation, complementary compliance, and technology-based services. Its services include writing and enforcing rules governing the activities of securities firms with brokers, examining firms for compliance with those rules, fostering market transparency, and educating investors. The company was founded in 2007 and is headquartered in Washington, DC. | Finance |
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