James V. Caboy
Professional summary
James Vincent Caboy, who also goes by James VIncent Caboy Jr., is a registered financial professional currently at MAXIM GROUP LLC located in Red Bank, New Jersey.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 12 firms and has passed the Series 63, Series 82TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Vincent Caboy's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2024 - Present
MAXIM GROUP LLC
Office #1: 68 White Street 2nd Floor, Red Bank, NJ 07701December 14, 2023 - November 8, 2024
STONEX FINANCIAL INC.
April 19, 2023 - December 8, 2023
FENNEL
January 24, 2019 - May 1, 2023
RIALTO MARKETS LLC
December 10, 2012 - January 11, 2019
LIQUIDNET, INC.
March 26, 2012 - September 26, 2012
CANACCORD GENUITY SECURITIES LLC
November 4, 2009 - December 5, 2012
CANACCORD GENUITY LLC
June 18, 2004 - October 29, 2009
NATIXIS SECURITIES AMERICAS LLC
May 3, 2000 - June 22, 2004
PERSHING ADVISOR SOLUTIONS LLC
March 2, 1999 - March 23, 2000
NYLIFE SECURITIES LLC
February 16, 1998 - September 25, 1998
MORGAN STANLEY DW INC.
November 13, 1997 - January 1, 1998
WEATHERLY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/1/2024)
Exams
Series 82TO
Date: 4/19/2023
Limited Representative-Private Securities OfferingsSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 12/4/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
MAXIM GROUP LLC
CRD#: 120708 / SEC#: , 8-65337
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAXIM PARTNERS LLC | MEMBER | |
| EVANS, TIPTON HAMLIN | CHIEF COMPLIANCE OFFICER | 6118339 |
| FIORE, CHRISTOPHER JAMES | CO-PRESIDENT, DIRECTOR OF CAPITAL MARKETS | 2269479 |
| GLASSBERG, LAWRENCE COOPER | CO-HEAD OF INVESTMENT BANKING | 4813201 |
| LAROSA, PAUL GEORGE | HEAD OF SYNDICATE/ACTING DIRECTOR OF ASSET MANAGEMENT | 1900695 |
| MESSINGER, MICHAEL SPENCER | MSP | 1403506 |
| MURPHY, TIMOTHY GERARD | FINOP/CFO | 1836629 |
| SIEGEL, JAMES EDWARD | GENERAL COUNSEL | 4490472 |
| TELLER, CLIFFORD ADAM | CHIEF EXECUTIVE OFFICER/CHAIRMAN | 4631188 |
| VEERA, RITESH MOTILAL | CO-HEAD OF INVESTMENT BANKING | 4994814 |
| VENDETTI, ANTHONY VINCENT | DIRECTOR OF RESEARCH | 2574608 |
| VITALE, WILLIAM CHRISTIAN | DIRECTOR OF TRADING | 2669953 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 1 |
Red Flags
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