JC
James T. Cirenza
DNB MARKETS
New York, NY 10001
Some features on this profile are disabled
CRD#: 1176137
JC
Professional summary
James Thomas Cirenza is a registered financial professional currently at DNB MARKETS, INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 5, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Thomas Cirenza's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 19, 2012 - Present
DNB MARKETS, INC.
Office #1: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001Office #2: 8th Floor The Walbrook Building 25 Walbrook, London, EC4N 8AFOffice #3: 30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001BD
CRD#: 127605
New York, NY
Past
February 9, 2011 - December 31, 2011
OLIVETREE FINANCIAL, LLC
BD
CRD#: 154026
NEW YORK, NY
Past
April 27, 2001 - January 15, 2009
CARNEGIE, INC.
BD
CRD#: 31184
NEW YORK, NY
Past
February 9, 1998 - April 19, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
November 4, 1996 - February 9, 1998
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 14, 1995 - November 5, 1996
NATWEST SECURITIES CORPORATION
BD
CRD#: 18238
NEW YORK, NY
Past
November 22, 1983 - June 13, 1995
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/19/2012)
RR
Alaska(1/19/2012)
RR
Arizona(1/19/2012)
RR
Arkansas(1/19/2012)
RR
California(1/19/2012)
RR
Colorado(1/19/2012)
RR
Connecticut(1/19/2012)
RR
Delaware(1/19/2012)
RR
District of Columbia(1/19/2012)
RR
Georgia(1/19/2012)
RR
Hawaii(1/19/2012)
RR
Idaho(1/19/2012)
RR
Illinois(1/19/2012)
RR
Indiana(1/19/2012)
RR
Iowa(1/19/2012)
RR
Kansas(1/19/2012)
RR
Kentucky(1/19/2012)
RR
Louisiana(1/19/2012)
RR
Maine(1/19/2012)
RR
Maryland(1/19/2012)
RR
Massachusetts(1/19/2012)
RR
Michigan(1/19/2012)
RR
Minnesota(1/19/2012)
RR
Mississippi(1/19/2012)
RR
Missouri(1/19/2012)
RR
Montana(1/19/2012)
RR
Nebraska(1/19/2012)
RR
Nevada(1/19/2012)
RR
New Hampshire(1/19/2012)
RR
New Jersey(1/19/2012)
RR
New Mexico(1/19/2012)
RR
New York(1/19/2012)
RR
North Carolina(1/19/2012)
RR
North Dakota(1/19/2012)
RR
Ohio(1/19/2012)
RR
Oklahoma(1/19/2012)
RR
Oregon(1/19/2012)
RR
Pennsylvania(1/19/2012)
RR
Puerto Rico(1/19/2012)
RR
Rhode Island(1/19/2012)
RR
South Carolina(1/19/2012)
RR
South Dakota(1/19/2012)
RR
Tennessee(1/19/2012)
RR
Texas(1/19/2012)
RR
Utah(1/19/2012)
RR
Vermont(1/19/2012)
RR
Virgin Islands(1/19/2012)
RR
Virginia(1/19/2012)
RR
Washington(1/19/2012)
RR
West Virginia(1/19/2012)
RR
Wisconsin(1/19/2012)
RR
Wyoming(1/19/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 2/19/2025
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/4/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/21/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/20/1996
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
DM
DNB MARKETS, INC.
DNB CARNEGIE, INC. | DNB NOR MARKETS, INC. | DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001
Mailing Address
30 Hudson Yards 81st Floor 500 West 33rd Street, New York, NY, 10001
Phone number
(332) 600-3993
Established
New York since 01/10/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
