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James Jeffrey Frank

Cantor Fitzgerald & Co.

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About James Jeffrey Frank

James Jeffrey Frank is an investment professional with over 17 years of experience in the financial services industry. James has a strong background in securities and investment banking. He is a Series 7, 24, 63, and 79TO licensed professional and has a Series SIE designation. James is currently a registered representative with Cantor Fitzgerald & Co. Previously, James was employed with REALTY CAPITAL SECURITIES, LLC, KBS CAPITAL MARKETS GROUP LLC and U.S. SELECT SECURITIES LLC. James's expertise lies in providing investment advice and guidance to clients.

Firm Information

James Frank 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 Frank’s Registration & Firm History

CA

12/23/2015 - Present

Cantor Fitzgerald & Co. (IRVINE CA)

NY

06/26/2009 - 12/08/2015

REALTY CAPITAL SECURITIES, LLC (NEW YORK CITY NY)

CA

12/19/2007 - 06/19/2009

KBS CAPITAL MARKETS GROUP LLC (NEWPORT BEACH CA)

CA

06/22/2006 - 11/30/2007

U.S. SELECT SECURITIES LLC (LADERA RANCH CA)

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Licenses & Designations

BC

Issued 08/02/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/04/2016

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/21/2006

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 Jeffrey Frank.
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