James Henry Chase
Professional Summary
James Henry Chase, who also goes by James Henry Cockerham, James Cockerham, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1985 - 1997. James had worked at 2 firms and has passed the Series 63, Series 22 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Henry Cockerham, James Cockerham
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
CLARKSON FINANCIAL CORPORATION | RIDGEMONT SECURITIES, INC.
Contact Information
Established
Missouri since 09/19/1983Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VERA, MELISSA BURR | SECRETARY / FINANCIAL OPERATIONS PRINCIPAL | 2557422 |
| CLINE, KEVIN LEE | PRESIDENT | — |
Disclosures
Regulatory Event
1Arbitration
1Similar Advisors
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Mar 1994About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Feb 1986About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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