Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames R. Cook is a financial advisor registered with j.p. morgan securities llc. James has over 9 years of experience in the financial services industry. James has Series 7, 6, and 63 licenses as well as the SIE and Series 66 licenses. James has held prior registrations with NYLIFE Securities LLC, Farmers Financial Solutions, LLC, HSBC Securities (USA) INC., and Chase Investment Services Corp. James is licensed in 11 states and has registration in 2 states. James holds specializations in fixed income, mutual funds, variable life insurance, and insurance products. James works in Mattituck, NY.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
05/01/2024 - Present
J.p. Morgan Securities LLC (MATTITUCK NY)
CA
08/03/2020 - 08/18/2020
NYLIFE SECURITIES LLC (RIVERSIDE CA)
CA
05/18/2020 - 06/12/2020
FARMERS FINANCIAL SOLUTIONS, LLC (ONTARIO CA)
NY
07/30/2014 - 04/12/2016
HSBC SECURITIES (USA) INC. (HAMPTON BAYS NY)
NY
10/01/2012 - 07/16/2013
J.P. MORGAN SECURITIES LLC (MONTAUK NY)
NY
11/04/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (MONTAUK NY)
BOTH
Issued 01/06/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/06/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2022
Series 7TO - General Securities Representative Examination
BC
Issued 05/18/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/04/2020
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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