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JC

James D. Coker

COKER & PALMER
New Orleans, LA 70130
Some features on this profile are disabled
CRD#: 1238444
JC

Professional summary

James David Coker is a registered financial advisor currently at COKER & PALMER located in New Orleans, Louisiana.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 87, Series 7, Series 14, Series 4, Series 53, Series 27, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James David Coker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James David Coker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 19, 2011 - Present

COKER & PALMER

Office #1: 400 Poydras Suite 2100, New Orleans, LA 70130Office #2: 1667 Lelia Dr, Jackson, MS 39216Office #3: 1667 Lelia Drive, Jackson, MS 39216
RIA
BD
CRD#: 29163
New Orleans, LA
Current

December 10, 1991 - Present

COKER & PALMER

Office #1: 400 Poydras Suite 2100, New Orleans, LA 70130Office #2: 1667 Lelia Dr, Jackson, MS 39216Office #3: 1667 Lelia Drive, Jackson, MS 39216
RIA
BD
CRD#: 29163
New Orleans, LA
Past

February 24, 1984 - December 11, 1991

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
C&
COKER & PALMER
COKER & COMPANY, INC. | CPI RESEARCH | COKER, PALMER, PHILLIPS & MULLEN, INC. | COKER PALMER PHILLIPS & MULLEN | COKER & PALMER, INC. | COKER & PALMER, INC | COKER & PALMER INVESTMENT SECURITIES | COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA
Registered Investment Advisory firm - SEC (2/25/2013 Approved)
Alabama
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (10/14/2014 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (11/8/2014 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/18/2006)
IAR
Alabama
(2/10/2026)
RR
Arizona
(3/21/2023)
RR
Arkansas
(11/9/2021)
RR
California
(12/18/2006)
RR
Florida
(2/14/1994)
IAR
Georgia
(3/10/2023)
RR
Georgia
(10/22/2024)
RR
Indiana
(1/19/2017)
IAR
Indiana
(1/24/2023)
RR
Louisiana
(2/23/1995)
RR
Maryland
(1/15/2026)
RR
Michigan
(7/18/2025)
RR
Mississippi
(12/20/1991)
IAR
Mississippi
(7/19/2011)
RR
New Jersey
(3/16/2018)
RR
Oklahoma
(6/21/1996)
RR
South Carolina
(1/10/2025)
RR
Tennessee
(12/18/2006)
RR
Texas
(12/11/1991)
RR
Wyoming
(3/1/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/10/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/2/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/6/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 2/18/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/19/2005
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/25/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 10/21/1991
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/4/1991
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 1/21/1986
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

C&
COKER & PALMER
COKER & COMPANY, INC. | CPI RESEARCH | COKER, PALMER, PHILLIPS & MULLEN, INC. | COKER PALMER PHILLIPS & MULLEN | COKER & PALMER, INC. | COKER & PALMER, INC | COKER & PALMER INVESTMENT SECURITIES | COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA
Registered Investment Advisory firm - SEC (2/25/2013 Approved)
Alabama
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (10/14/2014 Terminated)
Mississippi
Registered Investment Advisory firm - SEC (10/9/2014 Terminated)
Tennessee
Registered Investment Advisory firm - SEC (11/8/2014 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Contact information

Main Address
1667 Lelia Drive, Jackson, MS 39216
Mailing Address
1667 Lelia Drive, Jackson, MS 39216
Phone number
(601) 354-0860
Established
Mississippi since 07/08/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
13

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

COKER & PALMER ADV PART 2 2025 (3/11/2025)

Direct owners and executive officers

NamePositionCRD#
COKER, JAMES DAVIDCHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT1238444
GHEE, LORELI ANNCOMPLIANCE OFFICER1531910

Regulatory assets under management

Total Number of Accounts428
AUM (Assets Under Management)$ 244,065,071

Disclosures

Regulatory Event7

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.

Company Information

COKER & PALMER

CRD#: 29163New Orleans, LA 70130

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Contact information

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