James M. Bock

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CRD#: 1304959

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 Malcolm Bock, who also goes by Jim Bock, Jimmy Bock, James Malcolm Buck, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1984. James had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Bock | Jimmy Bock | James Malcolm Buck

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 20, 1995 - August 16, 1995

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

January 9, 1995 - January 25, 1995

VISION INVESTMENT GROUP, INC.

CRD#: 28135

Past

July 29, 1993 - October 24, 1994

BEACON SECURITIES, INC.

CRD#: 15300

NEW YORK, NY

Past

August 27, 1991 - November 18, 1992

REICH & CO., INC.

CRD#: 19611

Past

April 10, 1990 - October 19, 1990

CROWN FINANCIAL GROUP, INC.

CRD#: 540

JERSEY CITY, NJ

Past

February 1, 1990 - April 20, 1990

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 11, 1989 - February 14, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

May 16, 1989 - October 26, 1989

MLB INVESTMENTS, LTD.

CRD#: 18280

Past

November 21, 1988 - April 11, 1989

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

Past

May 8, 1987 - February 14, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

Past

January 31, 1986 - May 11, 1987

CROWN FINANCIAL GROUP, INC.

CRD#: 540

Past

September 25, 1984 - February 24, 1986

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/10/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/8/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Current Firm

DONALD & CO. SECURITIES INC.

CRD#: 7776 / SEC#: , 8-20952

Terminated by SEC on 11/09/2002

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Contact information

Main Address

Mailing Address

Phone number

Established

New Jersey since 05/19/1976

Firm type

Corporation

Fiscal year end

September

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
THCG INC.	PARENT/HOLDING CO.
BLUM, STEPHEN ALLAN	PRESIDENT/CEO	600373
MATTIA, LESLIE ANTHONY	CHIEF COMPLIANCE OFFICER	1469405
PONTECORVO, ANTHONY	SEC/TREAS	810358
SCIPIONE, CARL EUGENE	C.F.O	3000672

Disclosures

Regulatory Event	21
Civil Event	2
Arbitration	12

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.

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Advisor Monitoring

Firm Stability Insights

James M. Bock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VISION INVESTMENT GROUP, INC.

BEACON SECURITIES, INC.

REICH & CO., INC.

CROWN FINANCIAL GROUP, INC.

H.J. MEYERS & CO., INC.

J. T. MORAN & CO., INC.

MLB INVESTMENTS, LTD.

MONMOUTH INVESTMENTS, INC.

J. T. MORAN & CO., INC.

CROWN FINANCIAL GROUP, INC.

THE STUART-JAMES COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/10/1984

Series 3

Date: 5/8/1989

Series 7

Date: 9/15/1984

Current Firm

DONALD & CO. SECURITIES INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DONALD & CO. SECURITIES INC.

TRUST BUT VERIFY

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