Jimmy Harper
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jimmy Harper, CIMA®, who also goes by Jimmy Ray Harper, was a registered financial professional .
Jimmy is a previously registered financial professional and started their career in finance in 1989. Jimmy had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2021 - April 17, 2023
CANTOR FITZGERALD & CO.
September 14, 2020 - January 5, 2021
BA SECURITIES, LLC
September 25, 2018 - July 10, 2020
ALPHAMAX DISTRIBUTORS, L.L.C.
April 16, 2015 - September 19, 2018
LOCORR DISTRIBUTORS, LLC
December 15, 2005 - April 9, 2015
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - April 9, 2015
FRANKLIN DISTRIBUTORS, LLC
November 24, 2004 - December 19, 2005
CITIGROUP GLOBAL MARKETS INC.
January 16, 1998 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 31, 1995 - July 30, 1997
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
November 18, 1991 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
February 21, 1990 - July 19, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 1989 - January 30, 1990
LEHMAN BROTHERS 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
Exams
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
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.
