Alice E. Dahms
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alice Elizabeth Dahms, who also goes by Alice E Dahms, was a registered financial professional .
Alice is a previously registered financial professional and started their career in finance in 2007. Alice had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2018 - November 5, 2025
CANTOR FITZGERALD & CO.
September 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
Exams
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
