James J. Mchugh
Professional summary
James John Mchugh, who also goes by Jim Mchugh, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James John Mchugh's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 19, 2011 - Present
CANTOR FITZGERALD & CO.
Office #1: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701June 15, 2009 - December 5, 2011
MF GLOBAL INC.
April 26, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
June 10, 2005 - June 12, 2009
RBC CAPITAL MARKETS, LLC
August 9, 2001 - June 20, 2005
FHN FINANCIAL SECURITIES CORP.
September 6, 1991 - August 21, 2001
GRUNTAL & CO., L.L.C.
July 25, 1989 - November 28, 1989
JONATHAN ALAN & CO., INC.
February 24, 1987 - August 20, 1987
NATIVE NATIONS SECURITIES, INC.
August 19, 1986 - September 16, 1986
NATIVE NATIONS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2025)
(11/20/2012)
(4/6/2023)
(10/16/2013)
(2/6/2013)
(10/15/2013)
(2/11/2013)
(3/8/2012)
(12/21/2011)
(7/29/2014)
(12/19/2011)
(12/19/2011)
(4/1/2025)
(1/11/2012)
Exams
Series 8
Date: 7/1/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe BYX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
Red Flags
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