James M. Cordes
Professional summary
James Matthew Cordes, who also goes by Jim Cordes, Jimmy Cordes, James Matthew Cordes, James Cordes, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC 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 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Cordes's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 250 West 34th Street 3rd Floor, New York, NY 10119December 4, 2021 - March 21, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 16, 2021 - March 20, 2023
FIDELITY BROKERAGE SERVICES LLC
May 30, 2017 - August 31, 2020
BB&T SECURITIES, LLC
August 27, 2015 - February 24, 2017
KEYBANC CAPITAL MARKETS INC.
July 14, 2010 - April 6, 2015
OPPENHEIMER & CO. INC.
July 31, 1993 - December 16, 2003
CITIGROUP GLOBAL MARKETS INC.
June 8, 1993 - July 31, 1993
LEHMAN 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
(1/13/2025)
(6/14/2023)
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(8/24/2023)
(6/7/2023)
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(6/8/2023)
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(1/13/2025)
(8/22/2023)
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(6/13/2023)
(6/9/2023)
(5/12/2023)
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(8/22/2023)
(6/7/2023)
(1/21/2025)
(1/14/2025)
(8/22/2023)
(6/7/2023)
Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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