James F. Cawley
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.
James Francis Cawley, who also goes by Jamie Cawley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2017 - October 24, 2018
MAREX CAPITAL MARKETS INC.
October 27, 2014 - February 27, 2017
BGC FINANCIAL, L.P.
May 30, 2008 - May 8, 2014
JAVELIN SECURITIES, LLC
July 6, 2005 - February 26, 2008
JAVELIN SECURITIES, LLC
December 5, 2002 - January 6, 2005
JAVELIN SECURITIES, LLC
March 15, 2002 - November 18, 2002
BGC FINANCIAL, L.P.
May 28, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 28, 1992 - April 17, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 28, 1992 - April 17, 1995
LEHMAN BROTHERS INC.
October 30, 1991 - April 29, 1992
SALOMON 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
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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