James B. Schroder
Professional summary
James Brian Schroder, who also goes by James Schroder, is a registered financial professional currently at CANACCORD GENUITY LLC located in Menlo Park, California.
James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Brian Schroder's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2025 - Present
CANACCORD GENUITY LLC
July 1, 2019 - February 25, 2025
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 9, 2017 - July 2, 2019
MOORELAND PARTNERS LLC
March 11, 2009 - September 11, 2017
US ARMA PARTNERS LP
May 12, 2006 - September 11, 2008
MONTGOMERY & CO., LLC
February 16, 2005 - April 11, 2006
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
(5/2/2025)
(5/2/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
CANACCORD GENUITY LLC
CRD#: 1020 / SEC#: , 8-3271
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANACCORD ADAMS (DELAWARE) INC. | PARENT | |
| ANDERSON, SCOTT WINFREE | CHIEF COMPLIANCE OFFICER | 5800524 |
| BARLOW, JEFFREY GRIFFIN | CHIEF EXECUTIVE OFFICER, PRESIDENT, EXECUTIVE DIRECTOR | 2277052 |
| DAVIAU, DANIEL JOSEPH | NON- EXECUTIVE DIRECTOR | 6096472 |
| MACFAYDEN, DONALD DUNCAN | EXECUTIVE DIRECTOR, CFO & FINANCIAL & OPERATIONS PRINCIPAL | 5390198 |
| PARDI SQUITIERI, JENNIFER ELLEN | EXECUTIVE DIRECTOR | 4922719 |
| PROUD, EMILY PRESSMAN | CHIEF OPERATING OFFICER | 5815542 |
| TEIPNER, LARISSA KYLE | US GENERAL COUNSEL |
Disclosures
| Regulatory Event | 45 |
| Bond | 1 |
Red Flags
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