James Taormina

James Taormina serves as the Chief Financial Officer and Chief Compliance Officer of AXIA Capital Markets LLC. He maintains oversight of all firm activities and his responsibilities include accounting & finance, supervision, compliance and regulatory reporting. He has extensive experience in financial services including the NYSE, Price Waterhouse & Co., as well as over 35 years in senior management of regional broker dealers. Over this time, James has developed extensive knowledge of financial reporting, brokerage operations, investment banking, and public markets. James earned his BS in Accounting from Fordham University and holds the Series 4, 7, 24, 27, 52, 53, 55, 57, 63, 79 and 99 Registrations.