James CantCRD Number: 1200500
Current Firm: Deutsche Bank Securities Inc.
James Cant (CRD# 1200500) is an Investment Advisor Representative working at Deutsche Bank Securities Inc. in Palm Beach, FL and has over 32 years of experience in the finance industry.
Castle Wealth Management
United Capital Financial Advisers
Indian River Financial Group, Inc.
|Deutsche Bank Securities Inc.||Palm Beach, FL||Mar 2009 - Current||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Palm Beach, FL||Jul 1984 - Mar 2009||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1984|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management5,524MILLIONS
Total Number of Accounts5,921ACCOUNTS
Average Account Value$932,939
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV