James B. Shannon
Professional summary
James Brian Shannon is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 2012. James has worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Brian Shannon's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2021 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701June 28, 2012 - March 16, 2021
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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