JC
John J. Cahalane
TRADEWEB DIRECT LLC
NEW YORK, NY 10167
Some features on this profile are disabled
CRD#: 2922033
JC
Professional summary
John Joseph Cahalane, who also goes by John J Cahalane, is a registered financial professional currently at TRADEWEB DIRECT LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John J Cahalane
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.
CRS (Client Relationship Summary) - BD
Click below to view John Joseph Cahalane'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®
NoneExperience
Current
April 14, 2014 - Present
TRADEWEB DIRECT LLC
Office #1: 245 Park Avenue Floor 30, New York, NY 10167Office #2: 1225 Franklin Avenue Suite 550, Garden City, NY 11530BD
CRD#: 103787
NEW YORK, NY
Past
August 11, 2010 - June 12, 2014
TRADEWEB LLC
BD
CRD#: 42759
NEW YORK, NY
Past
June 1, 2009 - August 9, 2010
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
December 5, 1997 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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
Alabama(2/24/2016)
RR
Alaska(2/24/2016)
RR
Arizona(2/24/2016)
RR
Arkansas(2/24/2016)
RR
California(2/24/2016)
RR
Colorado(2/24/2016)
RR
Connecticut(2/24/2016)
RR
Delaware(2/24/2016)
RR
District of Columbia(2/24/2016)
RR
Florida(2/24/2016)
RR
Georgia(2/24/2016)
RR
Hawaii(2/24/2016)
RR
Idaho(2/24/2016)
RR
Illinois(2/24/2016)
RR
Indiana(2/24/2016)
RR
Iowa(2/24/2016)
RR
Kansas(2/24/2016)
RR
Kentucky(2/24/2016)
RR
Louisiana(2/24/2016)
RR
Maine(2/24/2016)
RR
Maryland(2/24/2016)
RR
Massachusetts(2/24/2016)
RR
Michigan(2/24/2016)
RR
Minnesota(2/24/2016)
RR
Mississippi(2/24/2016)
RR
Missouri(2/24/2016)
RR
Montana(2/24/2016)
RR
Nebraska(2/24/2016)
RR
Nevada(2/24/2016)
RR
New Hampshire(2/24/2016)
RR
New Jersey(4/14/2014)
RR
New Mexico(2/24/2016)
RR
New York(4/14/2014)
RR
North Carolina(2/24/2016)
RR
North Dakota(2/24/2016)
RR
Ohio(2/24/2016)
RR
Oklahoma(2/24/2016)
RR
Oregon(2/24/2016)
RR
Pennsylvania(2/24/2016)
RR
Puerto Rico(2/24/2016)
RR
Rhode Island(2/24/2016)
RR
South Carolina(2/24/2016)
RR
South Dakota(2/24/2016)
RR
Tennessee(2/24/2016)
RR
Texas(2/24/2016)
RR
Utah(2/24/2016)
RR
Vermont(2/24/2016)
RR
Virginia(2/24/2016)
RR
Washington(2/24/2016)
RR
West Virginia(2/24/2016)
RR
Wisconsin(2/24/2016)
RR
Wyoming(2/24/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TD
TRADEWEB DIRECT LLC
BONDDESK TRADING LLC | TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
245 Park Avenue, New York, NY 10167
Mailing Address
245 Park Avenue, New York, NY 10167
Phone number
(212) 808-0004
Established
Delaware since 11/03/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
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.
