James Mcneice
Professional summary
James Mcneice, who also goes by James Frances Mcneice, James Francis Mcneice IV, James Francis Mcneice, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 10 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mcneice's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 1, 2019 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017December 12, 2012 - July 2, 2018
BLOOMBERG TRADEBOOK LLC
December 13, 2007 - December 19, 2012
CREDIT AGRICOLE SECURITIES (USA) INC.
October 9, 2007 - December 12, 2007
UBS SECURITIES LLC
February 15, 2006 - June 5, 2007
UBS CLEARING SERVICES CORPORATION
November 29, 2004 - September 14, 2006
ABN AMRO INCORPORATED
July 22, 2004 - January 5, 2005
REFCO SECURITIES, LLC
January 27, 2000 - May 11, 2004
CANTOR FITZGERALD & CO.
September 27, 1996 - March 14, 2001
CANTOR FITZGERALD SECURITIES
June 6, 1994 - March 19, 1996
M.S. FARRELL & COMPANY, 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
(8/1/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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