James W. Cahill
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Cahill was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1966. James had worked at 10 firms and has passed the SIE, Series 7, Series 5, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2010 - November 16, 2017
DREXEL HAMILTON, LLC
February 6, 2009 - November 29, 2010
NORTHEAST SECURITIES, LLC
August 30, 2002 - January 3, 2008
KEEFE, BRUYETTE & WOODS, INC.
March 30, 1995 - March 20, 1998
BARCLAYS CAPITAL INC.
June 26, 1990 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
March 27, 1990 - March 16, 1995
LEHMAN BROTHERS INC.
January 10, 1990 - March 16, 1995
LEHMAN GOVERNMENT SECURITIES INC.
September 19, 1974 - January 12, 1987
SALOMON BROTHERS INC.
March 9, 1973 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
April 5, 1966 - August 5, 1974
ROOSEVELT & SONS 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 5
Date: 10/21/1981
Interest Rate Options ExaminationSeries 1
Date: 10/6/1960
Registered Representative ExaminationSeries 40
Date: 3/2/1970
Registered Principal ExaminationCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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