Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vincent Caboy has been in the securities industry since August 7, 1998. James is currently registered with Stonex Financial Inc. in New York and New Jersey. James's previous experience includes working at Fennel, Rialto Markets LLC, Liquidnet, Inc., Canaccord Genuity Inc., Canaccord Genuity Securities LLC, Natixis Bleichroeder Inc., Pershing Trading Company, L.P., NYLIFE Securities Inc., Dean Witter Reynolds Inc. and Weatherly Securities Corporation.
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
12/14/2023 - Present
Stonex Financial Inc. (NEW YORK NY)
NY
04/19/2023 - 12/08/2023
FENNEL (NEW YORK NY)
NY
01/24/2019 - 05/01/2023
RIALTO MARKETS LLC (New York NY)
NY
12/10/2012 - 01/11/2019
LIQUIDNET, INC. (NEW YORK NY)
NY
11/04/2009 - 12/05/2012
CANACCORD GENUITY INC. (NEW YORK NY)
NY
03/26/2012 - 09/26/2012
CANACCORD GENUITY SECURITIES LLC (NEW YORK NY)
NY
06/18/2004 - 10/29/2009
NATIXIS BLEICHROEDER INC. (NEW YORK NY)
NJ
05/03/2000 - 06/22/2004
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
NY
03/02/1999 - 03/23/2000
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
02/16/1998 - 09/25/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
11/13/1997 - 01/01/1998
WEATHERLY SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 12/01/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2004
Series 24 - General Securities Principal Examination
BC
Issued 04/19/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
N
Nasdaq Stock Market
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