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JP

James M. Palmer

PLP CAPITAL
ORLANDO, FL 32836
Some features on this profile are disabled
CRD#: 2422457
JP

Professional summary

James Michael Palmer is a registered financial professional currently at PLP CAPITAL located in Orlando, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 52 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) - BD

Click below to view James Michael Palmer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

November 5, 2014 - Present

PLP CAPITAL

Office #1: 10243 Mattraw Place, Orlando, FL 32836
BD
CRD#: 38901
ORLANDO, FL
Past

March 1, 2007 - October 2, 2014

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
NASHVILLE, TN
Past

May 25, 2000 - December 1, 2006

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MANHATTAN BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/5/2014)
RR
California
(11/5/2014)
RR
Colorado
(6/10/2016)
RR
Connecticut
(11/5/2014)
RR
Florida
(12/9/2015)
RR
Illinois
(6/10/2016)
RR
Indiana
(11/12/2014)
RR
New York
(11/5/2014)
RR
North Carolina
(6/10/2016)
RR
Ohio
(11/5/2014)
RR
Tennessee
(8/21/2024)
RR
Washington
(12/4/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/24/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 10/28/1993
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PLP CAPITAL
BCS BROKERAGE, INC. | TRIBAL CAPITAL MARKETS, LLC | PLP CAPITAL | BLUE CAPITAL SECURITIES, INC.

CRD#: 38901 / SEC#: , 8-48460

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

Main Address
10243 Mattraw Place, Orlando, FL 32836
Mailing Address
10243 Mattraw Place, Orlando, FL 32836
Phone number
(212) 376-7492
Established
Delaware since 04/20/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 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#
PLP CAPITAL, LLCMEMBER
HARRIS, PATRICK EUGENECCO5748909
LAPIETRA, PETERCEO2273197
OCHOJSKI, GREGORY ANDREFINOP4705726

Disclosures

Regulatory Event2

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

PLP CAPITAL

CRD#: 38901Orlando, FL 32836

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