James J. Capper
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 Joseph Capper, who also goes by Jim Capper, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2022 - September 19, 2023
PROTECTION POINT ADVISORS
November 6, 2019 - January 7, 2021
PARK AVENUE SECURITIES LLC
June 28, 2019 - January 7, 2021
PARK AVENUE SECURITIES LLC
March 5, 2008 - March 19, 2008
ONEAMERICA SECURITIES, INC.
March 1, 1996 - July 10, 2007
MML INVESTORS SERVICES, LLC
July 29, 1994 - March 1, 1996
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
PROTECTION POINT ADVISORS
CRD#: 291805 / SEC#: 801-113898
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 7TO
Date: 6/27/2019
General Securities Representative ExaminationCurrent Firm
PROTECTION POINT ADVISORS
CRD#: 291805 / SEC#: 801-113898
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,620 |
| AUM (Assets Under Management) | $ 578,353,657 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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