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Sherri L. Cooke

Some features on this profile are disabled
CRD#: 1957540
SC

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.

Sherri Lynn Cooke, who also goes by Sherri Lynn Hillemeyer, Sherri Lynn Hillemeyercooke, was a registered financial professional .

Sherri is a previously registered financial professional and started their career in finance in 1991. Sherri had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sherri Lynn Hillemeyer | Sherri Lynn Hillemeyercooke

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

November 30, 2023 - August 28, 2024

ICAPITAL MARKETS LLC

BD
CRD#: 118219
NEW YORK, NY
Past

September 5, 2023 - November 30, 2023

ICAPITAL SECURITIES, LLC

BD
CRD#: 171061
NEW YORK, NY
Past

January 1, 2021 - June 2, 2021

EQUIFINANCIAL LLC

BD
CRD#: 136708
MIAMI, FL
Past

December 9, 2009 - October 29, 2018

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
IRVINE, CA
Past

December 4, 2006 - July 24, 2007

STIRA CAPITAL MARKETS GROUP, LLC

BD
CRD#: 141277
NEWPORT BEACH, CA
Past

October 28, 2004 - November 12, 2004

SLATE CAPITAL LLC

BD
CRD#: 126762
SAN FRANCISCO, CA
Past

January 30, 1998 - July 2, 2003

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
SAN FRANCISCO, CA
Past

May 29, 1991 - February 5, 1997

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA

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: 4/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/11/1993
Direct Participation Programs Principal Examination

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

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

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
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

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

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

ICAPITAL MARKETS LLC

CRD#: 118219

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