Jace D. Kowalzyk
Professional summary
Jace David Kowalzyk, who also goes by Jace David Kowalzyk, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in San Francisco, California.
Jace is registered as a RR (Registered Representative) and started their career in finance in 2004. Jace has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jace David Kowalzyk's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 23, 2024 - Present
CANTOR FITZGERALD & CO.
Office #1: One Sansome St. 41st Floor, San Francisco, CA 94104April 2, 2020 - February 21, 2024
PIPER SANDLER & CO.
July 25, 2011 - April 16, 2020
UNION SQUARE ADVISORS LLC
January 5, 2009 - July 13, 2011
THINKEQUITY LLC
January 23, 2006 - November 6, 2007
PIPER SANDLER & CO.
April 7, 2005 - January 17, 2006
HOULIHAN LOKEY CAPITAL, INC.
March 3, 2004 - April 5, 2005
PIPER SANDLER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/18/2024)
(4/23/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCboe 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 |
Red Flags
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