James G. 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 Gjellum Cook was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1993 - June 20, 1994
ROSE SECURITIES CORPORATION
February 19, 1993 - November 10, 1993
SCHNEIDER SECURITIES, INC.
November 4, 1991 - December 21, 1991
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
May 7, 1990 - January 2, 1991
RICHFIELD SECURITIES, INC.
December 11, 1989 - May 8, 1990
MUTUAL SECURITIES, INC.
March 29, 1989 - October 31, 1989
WILLIAM BARTON FINANCIAL, INC.
October 30, 1987 - August 22, 1988
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 15, 1987 - October 30, 1987
DOMESTIC ARBITRAGE GROUP, INC.
December 23, 1986 - September 8, 1987
VANDERBILT SECURITIES, INC.
January 23, 1985 - December 18, 1986
CETERA ADVISORS LLC
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
ROSE SECURITIES CORPORATION
CRD#: 20573 / SEC#: , 8-38288
Contact information
Documents
Red Flags
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