James I. Gibbons
Professional summary
James Ivan Gibbons, who also goes by Jim Gibbons, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Ivan Gibbons's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2020 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022September 28, 2017 - March 12, 2020
MORGAN STANLEY & CO. LLC
March 8, 2013 - December 22, 2017
MORGAN STANLEY
March 8, 2013 - December 22, 2017
MORGAN STANLEY
July 8, 1997 - March 18, 2013
UBS FINANCIAL SERVICES INC.
January 28, 1995 - March 18, 2013
UBS FINANCIAL SERVICES INC.
August 3, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 27, 1992 - August 4, 1994
LIBERTY CAPITAL MARKETS, 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
(3/10/2020)
(3/9/2020)
(3/10/2020)
(6/12/2020)
(3/10/2025)
(10/24/2022)
(3/10/2020)
(9/7/2023)
(3/9/2020)
(3/10/2020)
(3/10/2020)
(4/22/2021)
(3/23/2020)
(3/9/2023)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCboe 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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