JI
James R. Imperiale
WELLS FARGO SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 1678528
JI
Professional summary
James Robert Imperiale, who also goes by James Robert Imperiale Jr, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York and CANTOR FITZGERALD & CO. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 12 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Robert Imperiale Jr
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 Robert Imperiale'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
November 6, 2012 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001Office #2: 194 S Wood Ave, Iselin, NJ 08830BD
CRD#: 126292
New York, NY
Current
October 9, 2025 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022Office #2: 331 Newman Springs Rd Building 3, Red Bank, NJ 07701BD
CRD#: 134
New York, NY
Past
August 16, 2010 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
March 24, 2008 - June 14, 2010
BTIG, LLC
BD
CRD#: 122225
RED BANK, NJ
Past
June 7, 2001 - April 3, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 2, 2001 - May 30, 2001
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
April 6, 1999 - May 1, 2001
JPMSI
BD
CRD#: 15733
NEW YORK, NY
Past
November 4, 1997 - April 8, 1999
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
September 14, 1993 - October 17, 1997
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
September 8, 1992 - August 30, 1993
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
April 30, 1991 - August 11, 1992
INTESA SANPAOLO IMI SECURITIES CORP.
BD
CRD#: 19418
NEW YORK, NY
Past
March 20, 1990 - April 30, 1991
MABON, NUGENT & CO.
BD
CRD#: 2617
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(11/6/2012)
RR
Alaska(11/6/2012)
RR
Arizona(11/6/2012)
RR
Arkansas(11/6/2012)
RR
California(11/6/2012)
RR
Colorado(11/6/2012)
RR
Connecticut(11/6/2012)
RR
Delaware(11/6/2012)
RR
District of Columbia(11/6/2012)
RR
Florida(11/6/2012)
RR
Georgia(11/6/2012)
RR
Hawaii(11/6/2012)
RR
Idaho(11/6/2012)
RR
Illinois(11/6/2012)
RR
Indiana(11/6/2012)
RR
Iowa(11/6/2012)
RR
Kansas(11/6/2012)
RR
Kentucky(11/6/2012)
RR
Louisiana(11/6/2012)
RR
Maine(11/6/2012)
RR
Maryland(11/6/2012)
RR
Massachusetts(11/6/2012)
RR
Michigan(11/6/2012)
RR
Minnesota(11/6/2012)
RR
Mississippi(11/6/2012)
RR
Missouri(11/6/2012)
RR
Montana(11/6/2012)
RR
Nebraska(11/6/2012)
RR
Nevada(11/6/2012)
RR
New Hampshire(11/6/2012)
RR
New Jersey(11/6/2012)
RR
New Mexico(11/6/2012)
RR
New York(11/6/2012)
RR
North Carolina(11/6/2012)
RR
North Dakota(11/6/2012)
RR
Ohio(11/6/2012)
RR
Oklahoma(11/6/2012)
RR
Oregon(11/6/2012)
RR
Pennsylvania(11/6/2012)
RR
Puerto Rico(11/6/2012)
RR
Rhode Island(11/6/2012)
RR
South Carolina(11/6/2012)
RR
South Dakota(11/6/2012)
RR
Tennessee(11/6/2012)
RR
Texas(11/6/2012)
RR
Utah(11/6/2012)
RR
Vermont(11/6/2012)
RR
Virgin Islands(11/6/2012)
RR
Virginia(11/6/2012)
RR
Washington(11/6/2012)
RR
West Virginia(11/6/2012)
RR
Wisconsin(11/6/2012)
RR
Wyoming(11/6/2012)
Exams
State Security Law Exam
General 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: 11/8/2004
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
