Craig J. Crespo

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CRD#: 2732286

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.

Craig Jude Crespo was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1996. Craig had worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

May 21, 2021 - May 21, 2021

COKER & PALMER

CRD#: 29163

New Orleans, LA

Past

June 1, 2015 - May 14, 2021

COKER & PALMER

CRD#: 29163

New Orleans, LA

Past

September 16, 2010 - June 2, 2015

IBERIA CAPITAL PARTNERS L.L.C.

CRD#: 152766

NEW ORLEANS, LA

Past

October 14, 2008 - April 30, 2009

SANDERS MORRIS LLC

CRD#: 20580

METAIRIE, LA

Past

January 18, 2008 - November 3, 2008

COKER & PALMER

CRD#: 29163

METAIRIE, LA

Past

November 22, 2006 - January 2, 2008

BATTENKILL CAPITAL, INC.

CRD#: 131548

NEW ORLEANS, LA

Past

June 1, 2006 - January 3, 2007

TETON INVESTMENT PARTNERS, LLC

CRD#: 122569

NEW ORLEANS, LA

Past

March 4, 1998 - May 31, 2006

CAPITAL ONE SECURITIES, INC.

CRD#: 44158

NEW ORLEANS, LA

Past

April 26, 1996 - March 6, 1998

LOEWENBAUM & COMPANY INCORPORATED

CRD#: 26560

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/8/2024

General Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 3/8/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 3/8/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 3/8/2024

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 3/26/2010

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 2/12/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/25/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2024

General Securities Principal Examination

Current Firm

COKER & PALMER

CRD#: 29163 / SEC#: 801-77645, 8-44129

RIA

Registered Investment Advisory firm - SEC (2/25/2013 Approved)

Alabama

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (10/14/2014 Terminated)

Mississippi

Registered Investment Advisory firm - SEC (10/9/2014 Terminated)

Tennessee

Registered Investment Advisory firm - SEC (11/8/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1667 Lelia Drive, Jackson, MS 39216

Mailing Address

1667 Lelia Drive, Jackson, MS 39216

Phone number

(601) 354-0860

Established

Mississippi since 07/08/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

COKER & PALMER ADV PART 2 2025 (3/11/2025)

Direct owners and executive officers

Name	Position	CRD#
COKER, JAMES DAVID	CHIEF EXECUTIVE OFFICER / CHIEF FINANCIAL OPERATIONS OFFICER / CHIEF LEGAL OFFICER / CCO/PRESIDENT	1238444
GHEE, LORELI ANN	COMPLIANCE OFFICER	1531910

Regulatory assets under management

Total Number of Accounts	428
AUM (Assets Under Management)	$ 244,065,071

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Craig J. Crespo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COKER & PALMER

IBERIA CAPITAL PARTNERS L.L.C.

SANDERS MORRIS LLC

COKER & PALMER

BATTENKILL CAPITAL, INC.

TETON INVESTMENT PARTNERS, LLC

CAPITAL ONE SECURITIES, INC.

LOEWENBAUM & COMPANY INCORPORATED

Primary Firm SEC Registration

COKER & PALMER

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/1996

Series 7TO

Date: 3/8/2024

Series 79TO

Date: 3/8/2024

Series 99TO

Date: 3/8/2024

Series 57TO

Date: 3/8/2024

SIE

Date: 10/1/2018

Series 87

Date: 3/26/2010

Series 55

Date: 2/12/2004

Series 7

Date: 4/25/1996

Series 24

Date: 3/8/2024

Current Firm

COKER & PALMER

Contact information

SEC notice filing (10 States and Territories)

FINRA licenses (32 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COKER & PALMER

TRUST BUT VERIFY

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