James F. Wawrzyniakowski
Professional summary
James Francis Wawrzyniakowski JR, who also goes by James Francis Wawrzyniakowski, Jim Francis Wawrzyniakowski Jr, James Francis Wawrzyniakowski Jr., is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in Milwaukee, Wisconsin.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 7 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 72, Series 7, Series 14, Series 27, Series 53, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Francis Wawrzyniakowski JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 2019 - Present
CIBC WORLD MARKETS CORP.
Office #1: 411 East Wisconsin Avenue Suite 1850, Milwaukee, WI 53202July 26, 2016 - September 30, 2019
CLEARY GULL INC.
June 3, 2015 - June 14, 2016
PURSHE KAPLAN STERLING INVESTMENTS
March 23, 2012 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 23, 2012 - December 31, 2013
THE STRATEGIC FINANCIAL ALLIANCE, INC.
December 19, 2011 - June 15, 2016
GLOBAL VIEW CAPITAL MANAGEMENT LLC
August 15, 2008 - December 20, 2011
MSI FINANCIAL SERVICES, INC.
August 15, 2008 - December 20, 2011
MSI FINANCIAL SERVICES, INC.
April 26, 2000 - August 9, 2007
ROBERT W. BAIRD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2019)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 8/17/2005
Government Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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Company Information
CIBC WORLD MARKETS CORP.
CRD#: 630Milwaukee, WI 53202TRUST BUT VERIFY
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