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James Andrew Apthorpe

Cantor Fitzgerald & Co.

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About James Andrew Apthorpe

James Andrew Apthorpe is a financial professional with over 20 years of experience in the industry. James has worked at both large and small firms, including RBC Capital Markets and Deutsche Bank Securities. James holds a variety of licenses including Series 7, 24, 57, 79, and 99, and is registered with FINRA and the state of New York. Currently, James is a registered representative with Cantor Fitzgerald & Co.

Firm Information

James Apthorpe is currently registered with Cantor Fitzgerald & Co.. Cantor Fitzgerald & Co. is a partnership formed on September 25, 1992, with a presence in 52 states and the District of Columbia, as well as federal SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

291

Total Financial Advisors

Services Offered

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.

Fee Structure

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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James Apthorpe’s Registration & Firm History

NY

12/18/2017 - Present

Cantor Fitzgerald & Co. (NEW YORK NY)

NY

10/27/2009 - 09/28/2017

RBC CAPITAL MARKETS, LLC (NEW YORK NY)

NY

12/14/2001 - 10/21/2009

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/17/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/22/2010

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Andrew Apthorpe.
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