Adam E. Schroeder
Professional summary
Adam Ernest Schroeder, who also goes by Adam Schroeder, is a registered financial professional currently at BARCLAYS CAPITAL INC. located in New York, New York and CIBC WORLD MARKETS CORP. located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2015. Adam has worked at 4 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam Ernest Schroeder's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2018 - Present
BARCLAYS CAPITAL INC.
Office #1: 745 7th Avenue, New York, NY 10019June 5, 2026 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017April 22, 2016 - August 19, 2016
GREENTREE BROKERAGE SERVICES, INC.
November 6, 2015 - March 2, 2016
EQUITABLE ADVISORS, LLC
August 25, 2015 - March 2, 2016
EQUITABLE ADVISORS, 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
(5/9/2018)
Exams
Series 79TO
Date: 4/9/2019
Investment Banking Registered Representative ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
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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