James M. Dawson
Professional summary
James Michael Dawson is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2010. James has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Dawson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2026 - Present
ICAPITAL MARKETS LLC
Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165August 16, 2017 - June 9, 2026
UBS FINANCIAL SERVICES INC.
July 27, 2017 - April 16, 2025
UBS SECURITIES LLC
October 3, 2014 - August 4, 2015
MAREX CAPITAL MARKETS INC.
November 23, 2010 - October 2, 2014
MPS GLOBAL SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/10/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/29/2013
Limited Representative-Equity Trader ExamFINRA
Current Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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