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JM

James P. Mccaffrey

INVICTA CAPITAL LLC
OAKMONT, PA 15139
Some features on this profile are disabled
CRD#: 2624239
JM

Professional summary

James Patrick Mccaffrey JR, who also goes by Chip Patrick Mccaffrey Jr, Chip Mccaffrey, James Patrick Mccaffrey, James Mccaffrey, is a registered financial professional currently at INVICTA CAPITAL LLC located in Oakmont, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 79TO, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chip Patrick Mccaffrey Jr | Chip Mccaffrey | James Patrick Mccaffrey | James Mccaffrey

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 Patrick Mccaffrey JR'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

March 4, 2024 - Present

INVICTA CAPITAL LLC

Office #1: 527 Cedar Way Suite 101, Oakmont, PA 15139
BD
CRD#: 288101
OAKMONT, PA
Past

August 8, 2017 - May 24, 2018

BLUESTONE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 157841
WAYNE, PA
Past

August 8, 2017 - May 24, 2018

MCG SECURITIES LLC

BD
CRD#: 163144
WAYNE, PA
Past

April 4, 2017 - July 27, 2017

MATRIX 360 DISTRIBUTORS, LLC

BD
CRD#: 159715
FAIRWAY, KS
Past

November 5, 2014 - September 1, 2016

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 2, 2014 - April 28, 2014

ASTOR INVESTMENT MANAGEMENT LLC

RIA
CRD#: 169679
CHICAGO, IL
Past

July 29, 2013 - January 8, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
MALVERN, PA
Past

July 29, 2013 - March 17, 2014

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

September 14, 2012 - July 15, 2013

ASTOR ASSET MANAGEMENT LLC

RIA
CRD#: 116408
MALVERN, PA
Past

September 7, 2012 - July 15, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
NEW YORK, NY
Past

August 26, 2009 - January 17, 2012

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
NEW YORK, NY
Past

March 8, 2004 - August 25, 2009

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

August 12, 2002 - December 4, 2003

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

March 22, 2001 - July 1, 2002

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

September 12, 1996 - March 19, 2001

BISYS SHELF B/D (1), INC.

BD
CRD#: 26501
BOSTON, MA
Past

June 28, 1995 - August 29, 1996

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

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
Pennsylvania
(3/19/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/18/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/13/2012
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/4/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/5/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/22/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/8/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IC
INVICTA CAPITAL LLC
INVICTA CAPITAL LLC

CRD#: 288101 / SEC#: , 8-69923

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

Main Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Mailing Address
527 Cedar Way Suite 101, Oakmont, PA 15139
Phone number
(412) 349-8684
Established
Pennsylvania since 07/14/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 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#
INVICTA FINANCIAL GROUPHOLDING COMPANY
GIAMBRI, PHILIP MAYNARDSHAREHOLDER1182516
TEAL, GREGORY SCOTTSHAREHOLDER4768591
PEARSON, KRISTIN MARIECHIEF COMPLIANCE OFFICER4522677

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

INVICTA CAPITAL LLC

CRD#: 288101Oakmont, PA 15139

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