James E Smyth

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-04-09
TX	RA	APPROVED	2025-04-09

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Cantor Fitzgerald & Co.	New York	NY	08/2014	01/2017
Convergex	New York	NY	01/2017	06/2017
Pershing Llc	New York	NY	05/2018	09/2021
Cowen Execution Services Llc	New York	NY	06/2017	06/2017
Fordham University Graduate School Of Arts And Sciences	New York	NY	08/2017	12/2017
Unemployed	Manhasset	NY	01/2018	04/2018
Morgan Stanley & Co. Llc	New York	NY	10/2021	03/2022
Morgan Stanley Smith Barney Llc	New York	NY	03/2022	Present

08/2014 → 01/2017

Cantor Fitzgerald & Co.

New York, NY
01/2017 → 06/2017

Convergex

New York, NY
05/2018 → 09/2021

Pershing Llc

New York, NY
06/2017 → 06/2017

Cowen Execution Services Llc

New York, NY
08/2017 → 12/2017

Fordham University Graduate School Of Arts And Sciences

New York, NY
01/2018 → 04/2018

Unemployed

Manhasset, NY
10/2021 → 03/2022

Morgan Stanley & Co. Llc

New York, NY
03/2022 → Present

Morgan Stanley Smith Barney Llc

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-04-09
S63	Uniform Securities Agent State Law Examination	2014-11-15

Other Firms