James A. Cote
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 Anthony Cote, who also goes by Jim A Cote, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2016 - September 29, 2017
SANDLAPPER SECURITIES, LLC
April 10, 2014 - September 15, 2015
HLH SECURITIES, INC.
October 12, 2012 - December 9, 2013
RCX CAPITAL GROUP, LLC
September 7, 2011 - September 18, 2012
SILBER BENNETT FINANCIAL, INC.
October 4, 2001 - July 6, 2009
PINEBRIDGE SECURITIES LLC
July 24, 1991 - April 18, 1995
MIG SECURITIES, INC
April 9, 1985 - February 6, 1991
GRUBB & ELLIS SECURITIES 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
Series 2
Date: 9/18/1992
Non-Member General Securities ExaminationCurrent Firm
SANDLAPPER SECURITIES, LLC
CRD#: 137906 / SEC#: , 8-67128
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
