Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rodes falconer Giroux is a financial professional with over 11 years of experience in the industry. James is currently registered with Cantor Fitzgerald & Co. Previously, James worked at OLIVETREE FINANCIAL, LLC and CITIGROUP GLOBAL MARKETS INC.. James holds a Series 7, Series 55, Series 63, SIE and Series 57TO licenses. James is registered in New York and Illinois.
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
10/05/2021 - Present
Cantor Fitzgerald & Co. (NEW YORK NY)
NY
04/17/2017 - 07/29/2021
OLIVETREE FINANCIAL, LLC (NEW YORK NY)
NY
08/12/2011 - 04/28/2017
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 08/15/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2011
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/11/2011
Series 7 - General Securities Representative Examination
Active
Inactive
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
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