James N. Cole
Professional summary
James Nicholas Cole, who also goes by James Cole, is a registered financial professional currently at MUFG SECURITIES AMERICAS INC. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 6 firms and has passed the Series 63, Series 57TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Nicholas Cole's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2021 - Present
MUFG SECURITIES AMERICAS INC.
Office #1: 1221 Avenue Of The Americas 6th Floor, New York, NY 10020-1001July 8, 2009 - June 18, 2019
WELLS FARGO SECURITIES, LLC
December 12, 2005 - June 3, 2006
BANC OF AMERICA SECURITIES LLC
September 5, 2000 - July 22, 2004
APEX CLEARING CORPORATION
May 23, 1997 - September 5, 2000
ROBERTSON STEPHENS, INC.
November 10, 1993 - July 19, 1995
DRESDNER SECURITIES (USA) 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
(6/4/2021)
(6/4/2021)
(6/4/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
MUFG SECURITIES AMERICAS INC.
CRD#: 19685 / SEC#: , 8-43026
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUFG AMERICAS HOLDINGS CORPORATION | DIRECT OWNER | |
| AULETTA, CHRISTOPHER THOMAS | CHIEF COMPLIANCE OFFICER | 4779644 |
| GREEN, CHARLES ERWIN JR | INTERNATIONAL CHIEF RISK OFFICER | 2939574 |
| GUNN, BRIAN | OUTSIDE DIRECTOR | 7453790 |
| KOMORIYA, MASATOSHI | OUTSIDE DIRECTOR | 8066085 |
| LINDENBERG, JONATHAN BLAKE | OUTSIDE DIRECTOR | 2430463 |
| MCHUGH, DENIS TIMOTHY | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1909225 |
| MILKMAN, PAUL DAVID | CHIEF INFORMATION SECURITY OFFICER | 1564708 |
| MIYAMOTO, SHIRO | BOARD MEMBER | 8205719 |
| MORREALE, MONIQUE LILLIAN | GENERAL COUNSEL | 8184893 |
| NAKAO, TOSHIO | BOARD MEMBER | 8205734 |
| RADCLIFFE, ALEXANDER HUGH JOSEPH | CHIEF FINANCIAL OFFICER | 7595877 |
| THUMSER, MARK CHRISTOPHER | BOARD MEMBER | 4759143 |
| YARIAN, MICHAEL JAMES | INTERNATIONAL BUSINESS HEAD OF SALES & TRADING | 2504162 |
Disclosures
| Regulatory Event | 5 |
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