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CC

Cameron D. Caton

Some features on this profile are disabled
CRD#: 2257912
CC

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.

Cameron Donald Caton was a registered financial professional .

Cameron is a previously registered financial professional and started their career in finance in 1992. Cameron had worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

January 31, 2014 - December 15, 2021

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
BOCA RATON, FL
Past

July 21, 2004 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

February 3, 2003 - April 21, 2004

INSPEREX LLC

BD
CRD#: 101420
DELRAY BEACH, FL
Past

April 13, 2000 - January 2, 2003

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
CHICAGO, IL
Past

February 1, 1999 - January 2, 2003

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

February 5, 1997 - February 1, 1999

WINGSPAN INVESTMENT SERVICES

BD
CRD#: 17516
CHICAGO, IL
Past

June 12, 1993 - January 22, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

December 24, 1992 - April 16, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 19, 1992 - December 18, 1992

EMANUEL AND COMPANY

BD
CRD#: 7309
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
IAR
Series 65
Date: 2/26/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/21/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
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 55
Date: 6/16/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/15/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/1999
General Securities Principal Examination

Current Firm

C&
COHEN & COMPANY SECURITIES, LLC
C & CO/PRINCERIDGE GROUP LLC | VINSONFORBES & CO. LLC | THE PRINCERIDGE GROUP LLC | J.V.B. FINANCIAL GROUP, LLC | COHEN & COMPANY SECURITIES, LLC | C & CO/PRINCERIDGE LLC

CRD#: 149758 / SEC#: , 8-68186

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

Main Address
3 Columbus Circle 24th Floor, New York, NY 10019
Mailing Address
3 Columbus Circle 24th Floor, New York, NY 10019
Phone number
(646) 792-5600
Established
Delaware since 12/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
J.V.B. FINANCIAL GROUP HOLDINGS, LP.SOLE MEMBER
BRAFMAN, LESTER RAYMONDCHIEF EXECUTIVE OFFICER1895749
BURKLIN, STEPHAN GEORGEEXECUTIVE VICE PRESIDENT1808970
LISTMAN, DOUGLASCFO5894307
VACCA, KATHARINE ELIZABETHCHIEF COMPLIANCE OFFICER1821586

Disclosures

Regulatory Event6

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

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

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