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JS

James P. Smyth

MCAP LLC
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 2380126
JS

Professional summary

James Patrick Smyth, who also goes by James P Smyth, James Smyth, Jim Smyth, is a registered financial professional currently at MCAP LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James P Smyth | James Smyth | Jim Smyth

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Patrick Smyth's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 19, 2017 - Present

MCAP LLC

Office #1: 100 Park Avenue Suite 2201, New York, NY 10017Office #2: 100 Park Avenue Suite 2201, New York, NY 10017
BD
CRD#: 139515
NEW YORK, NY
Past

February 22, 2012 - February 17, 2017

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

January 10, 2011 - October 20, 2011

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

July 28, 2010 - December 31, 2010

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
GREENWICH, CT
Past

September 10, 2002 - October 20, 2011

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GREENWICH, CT
Past

May 29, 2001 - September 4, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 8, 1996 - May 29, 2001

BROADCORT CAPITAL CORP.

BD
CRD#: 13456
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(9/24/2020)
RR
Florida
(11/7/2018)
RR
Illinois
(5/21/2021)
RR
Massachusetts
(11/3/2025)
RR
Missouri
(9/6/2023)
RR
New York
(6/19/2017)
RR
Pennsylvania
(9/11/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 2/12/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/22/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 11/7/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/6/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ML
MCAP LLC
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Park Avenue Suite 2201, New York, NY 10017
Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017
Phone number
(212) 750-1056
Established
Delaware since 11/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MCAP TECHNOLOGIES LLCOWNER
DENNIS, WILLIAM CHOWNINGPRESIDENT4282868
MENN, DAVID ROBERTCHIEF EXECUTIVE OFFICER2283670
MULLEN, GREGORY VINCENTCHIEF FINANCIAL OFFICER & FINOP2048657
PATTI, LEONARD WILLIAMCHIEF COMPLIANCE OFFICER4276315

Disclosures

Regulatory Event2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MCAP LLC

CRD#: 139515New York, NY 10017

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