Profile
Mr. James Frischling is Co-Founder & President at NewOak Capital Markets LLC.
He focused on business development and the distribution of firm's products and services.
His administrative duties include responsibility for the day-to-day operations of the company including oversight of the governance team which includes finance, human resources, operations, legal, compliance and communications.
Prior to co-founding NewOak in 2008, Mr. Frischling was an executive at Fortis Securities and served as Head of US Structured Credit.
The group consisted of CDO origination, structuring, distribution and sales & trading, Securitization, Leverage Loan sales & trading, RMBS sales & trading and Loan Syndication where he oversaw over $5 billion of structured assets.
At Societe Generale, Mr. Frischling was the Head of CDOs which included origination, structuring and distribution and managed the structured products sales effort.
Mr. Frischling holds Series 79, 7, 24 and 63 licenses, a B.A.
from Wesleyan University and an MBA from Columbia Business School.
James Frischling active positions
| Companies | Position | Start |
|---|---|---|
NewOak Capital Markets LLC
 NewOak Capital Markets LLC Investment Banks/BrokersFinance Founded in 2008, NewOak Capital Markets LLC is a broker/dealer located in New York City. The firm is a subsidiary of NewOak Securities Holdings LLC. They are a Member FINRA, SIPC and MSRB. NewOak specializes in analyzing and valuing complex and illiquid financial instruments. The firm's solutions platform offers clients analytics at a granular and structure level, with capabilities spanning from performing forensic analysis on securities, valuation, structuring, collateral to performing dispute resolution and restructuring services. Their expertise focuses on valuation and analysis of complex structured credit fixed income securities and collateral, especially in illiquid and hard-to-price assets. | Founder | 2007-12-31 |
560 Third Avenue Grocery Corp.
 560 Third Avenue Grocery Corp. RestaurantsConsumer Services 560 Third Avenue Grocery Corp. offers alcoholic drinks from a tap. The company was founded by James Frischling, Dean Palin, Michael Schatzberg, and Roman Maliszewski and is headquartered in New York, NY. | Founder | - |
Former positions of James Frischling
| Companies | Position | End |
|---|---|---|
J. Giordano Securities Group, Inc.
 J. Giordano Securities Group, Inc. Investment Banks/BrokersFinance Founded by James Giordano in 1999, J. Giordano Securities Group, Inc. is an independent, privately-owned full-service investment banking and brokerage firm headquartered in New York City. The firm is also known as NewOak Capital Markets LLC. They provide a range of investment banking services for small-cap and middle-market companies including private capital, initial and follow-on public equity offerings, convertible debt and preferred stock offerings, high yield offerings and M&A advisory services. J. Giordano Securities Group also provides equity and fixed-income research to institutional clients. The firm's research focuses on the following sectors: (1) industrial services (2) conventional energy (3) regional and special situations (4) shipping (5) healthcare (6) homeland defense and (7) business services. J. Giordano Securities Group is a member of the NASD and SIPC. | Founder | 2013-07-01 |
Fortis Securities LLC
 Fortis Securities LLC Investment Banks/BrokersFinance Headquartered in New York City, Fortis Securities LLC, a subsidiary of Fortis Brussels NV is a broker/dealer. They offer a full array of investment services with a particular focus on the biotech industry. They are a member of the NASD. Their ultimate parent is Fortis SA/NV (XB: FORB). | Corporate Officer/Principal | - |
Training of James Frischling
| The Trustees of Columbia University in The City of New York | Masters Business Admin |
| Wesleyan University | Undergraduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Private companies | 4 |
|---|---|
Fortis Securities LLC
Fortis Securities LLC Investment Banks/BrokersFinance Headquartered in New York City, Fortis Securities LLC, a subsidiary of Fortis Brussels NV is a broker/dealer. They offer a full array of investment services with a particular focus on the biotech industry. They are a member of the NASD. Their ultimate parent is Fortis SA/NV (XB: FORB). | Finance |
J. Giordano Securities Group, Inc.
J. Giordano Securities Group, Inc. Investment Banks/BrokersFinance Founded by James Giordano in 1999, J. Giordano Securities Group, Inc. is an independent, privately-owned full-service investment banking and brokerage firm headquartered in New York City. The firm is also known as NewOak Capital Markets LLC. They provide a range of investment banking services for small-cap and middle-market companies including private capital, initial and follow-on public equity offerings, convertible debt and preferred stock offerings, high yield offerings and M&A advisory services. J. Giordano Securities Group also provides equity and fixed-income research to institutional clients. The firm's research focuses on the following sectors: (1) industrial services (2) conventional energy (3) regional and special situations (4) shipping (5) healthcare (6) homeland defense and (7) business services. J. Giordano Securities Group is a member of the NASD and SIPC. | Finance |
NewOak Capital Markets LLC
NewOak Capital Markets LLC Investment Banks/BrokersFinance Founded in 2008, NewOak Capital Markets LLC is a broker/dealer located in New York City. The firm is a subsidiary of NewOak Securities Holdings LLC. They are a Member FINRA, SIPC and MSRB. NewOak specializes in analyzing and valuing complex and illiquid financial instruments. The firm's solutions platform offers clients analytics at a granular and structure level, with capabilities spanning from performing forensic analysis on securities, valuation, structuring, collateral to performing dispute resolution and restructuring services. Their expertise focuses on valuation and analysis of complex structured credit fixed income securities and collateral, especially in illiquid and hard-to-price assets. | Finance |
560 Third Avenue Grocery Corp.
560 Third Avenue Grocery Corp. RestaurantsConsumer Services 560 Third Avenue Grocery Corp. offers alcoholic drinks from a tap. The company was founded by James Frischling, Dean Palin, Michael Schatzberg, and Roman Maliszewski and is headquartered in New York, NY. | Consumer Services |
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