James E. Nappo
Professional summary
James Ernest Nappo, who also goes by Nappo Ernest James Ernest, James E Nappo, James Nappo, Jim Nappo, James Ernest Nappo, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 5 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Ernest Nappo's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 24, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: 71 South Wacker Dr, Chicago, IL 60606April 13, 2018 - July 26, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 24, 2013 - January 18, 2018
JEFFERIES LLC
June 27, 2007 - August 7, 2013
CREDIT SUISSE SECURITIES (USA) LLC
May 12, 2004 - June 7, 2007
UBS SECURITIES LLC
April 19, 1993 - April 29, 2004
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/24/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal 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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