James G. Cook
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 G Cook, who also goes by James Grey Cook, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 4 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2008 - May 14, 2012
TD AMERITRADE, INC.
July 21, 2008 - May 14, 2012
TD AMERITRADE, INC.
October 25, 2007 - July 14, 2008
CHARLES SCHWAB & CO., INC.
October 12, 2005 - July 14, 2008
CHARLES SCHWAB & CO., INC.
April 1, 1992 - February 7, 2005
CHARLES SCHWAB & CO., INC.
October 19, 1990 - February 19, 1992
LEGG MASON WOOD WALKER, INCORPORATED
December 26, 1986 - October 26, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 5/11/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
