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JC

James J. Cavaliere

Some features on this profile are disabled
CRD#: 1528967
JC

Professional summary

James John Cavaliere JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, James had worked at 5 firms, which includes KOVACK SECURITIES INC., MAGNUM SECURITIES OF NEW YORK INC., VALLEY FORGE SECURITIES INC ., WILLIAM SCOTT & CO. L.L.C., MEYERS POLLOCK ROBBINS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

James John Cavaliere

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

December 17, 2002 - May 19, 2003

KOVACK SECURITIES INC.

BD
CRD#: 44848
FT. LAUDERDALE, FL
Past

August 3, 2000 - December 15, 2000

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

July 30, 1999 - August 3, 2000

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

June 29, 1995 - October 30, 1997

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

June 23, 1994 - May 22, 1995

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY

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
RR
Series 63
Date: 7/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/2/1995
General Securities Principal Examination

Current Firm

KS
KOVACK SECURITIES INC.
KOVACK SECURITIES INC. | RK ADVISORS, INC. | RK ADVISORS

CRD#: 44848 / SEC#: , 8-50847

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
6451 N. Federal Hwy. Suite 1201, Ft. Lauderdale, FL 33308
Phone number
(954) 782-4771
Established
Florida since 04/22/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
KOVACK FINANCIAL, LLC.OWNER
KOVACK, BRIAN JOHNCEO2809477
SHICK, ISABELLE ALLISONFINOP5364794
WOLFE, MELINDA SUECHIEF COMPLIANCE OFFICER/EVP1627593

Disclosures

Regulatory Event5
Arbitration5

Red Flags

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Company Information

KOVACK SECURITIES INC.

CRD#: 44848

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