James A. Peko
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 Peko, CFA was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 4 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 16, Series 3, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2010 - April 21, 2020
GRANT THORNTON CORPORATE FINANCE, LLC
April 6, 2005 - August 4, 2006
ANKURA CAPITAL ADVISORS, LLC
June 20, 2001 - November 18, 2002
GIULIANI CAPITAL ADVISORS LLC
July 21, 1987 - February 1, 1999
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
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
GRANT THORNTON CORPORATE FINANCE, LLC
CRD#: 120129 / SEC#: , 8-65264
Contact information
Documents
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.
