James S. Conahan
Professional summary
James S Conahan, who also goes by James Steven Conahan, Jim Conahan, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in Old Bridge, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James S Conahan's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2018 - Present
MACQUARIE CAPITAL (USA) INC.
November 26, 2019 - May 18, 2020
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
December 6, 2013 - January 24, 2017
PERSHING LLC
December 7, 1994 - March 14, 2012
CITIGROUP GLOBAL 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Nasdaq Stock Market
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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