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JC

James Chakey

Some features on this profile are disabled
CRD#: 1410176
JC

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 Chakey was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1985. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

August 28, 2015 - October 14, 2016

CV BROKERAGE, INC

BD
CRD#: 462
WILLIAMSTOWN, NJ
Past

June 1, 2011 - August 14, 2013

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 12, 2009 - June 26, 2009

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
MEDIA, PA
Past

August 8, 2007 - June 26, 2009

BANCNORTH INVESTMENT GROUP, INC.

BD
CRD#: 31299
MEDIA, PA
Past

April 29, 2002 - November 3, 2005

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

July 30, 1998 - May 13, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

December 6, 1994 - August 21, 1998

MESIROW FINANCIAL, INC.

BD
CRD#: 2764
CHICAGO, IL
Past

February 19, 1991 - December 22, 1994

HOWE BARNES HOEFER & ARNETT, INC.

BD
CRD#: 2240
CHICAGO, IL
Past

October 1, 1990 - February 25, 1991

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

November 25, 1987 - October 3, 1990

BUTCHER & SINGER INC.

BD
CRD#: 6517
Past

December 20, 1985 - April 11, 1986

FIRST INTERREGIONAL EQUITY CORP.

BD
CRD#: 7486

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
IAR
Series 65
Date: 12/22/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/19/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/17/2005
General Securities Principal Examination

Current Firm

CB
CV BROKERAGE, INC
CV BROKERAGE INC | JAMES C. BUTTERFIELD INC. | CV BROKERAGE, INC

CRD#: 462 / SEC#: , 8-12429

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 05/25/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CV INVESTMENTS, LLCMEMBER
JUILIANO, COLLEEN JANEFINOP4818898
MCCORMACK, WILLIAM THOMASCEO, CCO, COO2690069

Disclosures

Regulatory Event10

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

CV BROKERAGE, INC

CRD#: 462

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