AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JP

James M. Palmer

TRIBAL CAPITAL MARKETS
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 TRIBAL CAPITAL MARKETS, LLC 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

TRIBAL CAPITAL MARKETS, LLC

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

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

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

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRIBAL CAPITAL MARKETS, LLC

CRD#: 38901Orlando, FL 32836

TRUST BUT VERIFY

Monitor James Palmer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Lea Smith Johnson
Lea Smith JohnsonAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Bradenton, FL
AR
Aura ReinhardAdvisorCheck Check Mark
RBC CAPITAL MARKETS, LLC
PR
NEW YORK, NY
Glenn C Sanger-hodgson
Glenn Sanger-hodgsonAdvisorCheck Check Mark
SHONAN GOLD FINANCIAL LLC
IAR
TALLAHASSEE, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.