James L. Cook
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Lee Cook SR., who also goes by J Lee Cook, James Lee Cook, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2013 - July 3, 2018
ALPS DISTRIBUTORS, INC.
March 30, 2012 - August 1, 2018
STADION MONEY MANAGEMENT, LLC
March 19, 2010 - March 8, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 28, 2009 - April 1, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 10, 2007 - September 18, 2008
BNY MELLON SECURITIES CORPORATION
November 20, 2006 - September 18, 2008
BNY MELLON SECURITIES CORPORATION
December 1, 2005 - December 20, 2005
FRANKLIN DISTRIBUTORS, LLC
August 19, 2003 - December 16, 2005
CITIGROUP GLOBAL MARKETS INC.
August 14, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
July 7, 1998 - May 23, 2002
ALLFIRST BROKERAGE CORPORATION
September 15, 1986 - February 4, 1997
DELAWARE DISTRIBUTORS, L.P.
May 1, 1984 - October 1, 1986
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
