Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames A. Cognetti is a registered representative with Brean Capital, LLC and has been in the securities industry since 2004. James has a wide range of experience in the financial services industry, having worked for several firms in different roles. James holds Series 7, 63, and 65 licenses and is currently registered in 21 states. James is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
1
2
TN
08/19/2013 - Present
Brean Capital, LLC (Franklin TN)
NY
11/02/2009 - 08/05/2013
CRT CAPITAL GROUP LLC (NEW YORK NY)
NY
07/31/2009 - 10/28/2009
JVB FINANCIAL GROUP, LLC (NEW YORK NY)
NY
02/27/2008 - 06/30/2009
MAXIM GROUP LLC (NEW YORK NY)
NY
02/18/2005 - 02/19/2008
WAMU CAPITAL CORP. (NEW YORK NY)
NY
07/26/2004 - 01/13/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 08/13/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/06/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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