Alice E. Dahms
Professional summary
Alice Elizabeth Dahms, who also goes by Alice E Dahms, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in New York, New York.
Alice is registered as a RR (Registered Representative) and started their career in finance in 2007. Alice has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alice Elizabeth Dahms's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2018 - Present
CANTOR FITZGERALD & CO.
Office #1: 110 East 59th Street 4 Floor Itd, New York, NY 10022September 6, 2017 - December 7, 2017
RBC CAPITAL MARKETS, LLC
September 13, 2016 - February 2, 2017
RBC CAPITAL MARKETS, LLC
January 15, 2016 - June 29, 2016
RBC CAPITAL MARKETS, LLC
July 2, 2015 - November 18, 2015
RBC CAPITAL MARKETS, LLC
September 21, 2012 - March 18, 2014
ANDREW GARRETT INC.
July 8, 2011 - May 16, 2012
EQUITABLE ADVISORS, LLC
November 17, 2009 - June 16, 2011
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
September 8, 2008 - November 10, 2009
OSAIC FA, INC.
June 5, 2007 - June 27, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 21, 2007 - June 5, 2007
RYAN BECK & 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
(1/4/2018)
Exams
Cboe 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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