Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames A. Schmitt is a financial professional with over 30 years of experience in the industry. James is currently registered with Tp Icap Global Markets Americas Llc in New York. James has previously held positions at Tullett Prebon Financial Services LLC, Chapdelaine Tullett Prebon, LLC, Tullett & Tokyo Securities, INC., Cantor Fitzgerald Securities and Cantor Fitzgerald Partners. James holds Series 7, Series 52, and Series 63 licenses. James is also a registered representative in Illinois and New York.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
06/30/2023 - Present
TP Icap Global Markets Americas LLC (New York NY)
NY
06/01/2012 - 06/30/2023
TULLETT PREBON FINANCIAL SERVICES LLC (New York NY)
NY
08/14/1997 - 06/01/2012
CHAPDELAINE TULLETT PREBON, LLC (NEW YORK NY)
NY
03/07/1994 - 04/09/1997
TULLETT & TOKYO SECURITIES, INC. (NEW YORK NY)
NY
11/01/1993 - 01/19/1994
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
11/16/1992 - 01/19/1994
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
BC
Issued 09/23/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1992
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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