James W. Bohm
Professional summary
James W Bohm, who also goes by Beau Bohm, James W. Bohm, James William Bohm III, James Bohm, James William Bohm, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James W Bohm's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 26, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022November 8, 2021 - April 18, 2024
DEUTSCHE BANK SECURITIES INC.
August 26, 2011 - November 9, 2021
WELLS FARGO SECURITIES, LLC
September 27, 2010 - August 26, 2011
CITADEL SECURITIES LLC
February 22, 2010 - August 10, 2010
COWEN AND COMPANY
October 6, 2003 - May 13, 2009
DEUTSCHE BANK SECURITIES 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
(6/26/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 6/28/2022
Securities Trader ExamCboe BYX 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
CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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