James A. Cook

TJT CAPITAL GROUP

Stamford, CT 06902

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CRD#: 2764871

Professional summary

James August Cook, CFP® is a registered financial advisor currently at TJT CAPITAL GROUP, LLC located in Stamford, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 10 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

8/2010: EDITOR OF THE INVESTORS STRATEGIST (NEWSLETTER) 9 W BROAD STREET, STAMFORD, CT 06902; 1 TRDAING HR/WEEK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James August Cook'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

August 5, 2009 - Present

TJT CAPITAL GROUP, LLC

Office #1: 9 W. Broad Street Suite 420, Stamford, CT 06902

RIA

CRD#: 150200

Stamford, CT

Past

August 9, 2011 - November 22, 2011

LEIGH BALDWIN & CO., LLC

CRD#: 38751

STAMFORD, CT

Past

July 31, 2008 - August 6, 2009

ASSETMARK, INC.

RIA

CRD#: 109018

STAMFORD, CT

Past

October 23, 2007 - August 6, 2009

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

June 10, 2005 - July 31, 2008

GENWORTH FINANCIAL ASSET MANAGEMENT, INC

RIA

CRD#: 105771

STAMFORD, CT

Past

January 31, 2003 - October 23, 2007

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

STAMFORD, CT

Past

July 16, 2001 - February 5, 2002

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

September 18, 1997 - November 17, 1999

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

September 18, 1997 - November 17, 1999

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 2, 1996 - July 25, 1997

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

TJT CAPITAL GROUP, LLC

FAIRFIELD DESIGNS, LLC | TJT CAPITAL GROUP, LLC

CRD#: 150200 / SEC#: 801-70286

RIA

Registered Investment Advisory firm - (6/17/2009 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/5/2009)

IAR

Texas
(12/15/2009)

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

IAR

Series 65

Date: 12/14/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 7/1/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TJT CAPITAL GROUP, LLC

FAIRFIELD DESIGNS, LLC | TJT CAPITAL GROUP, LLC

CRD#: 150200 / SEC#: 801-70286

RIA

Registered Investment Advisory firm - (6/17/2009 Approved)

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Contact information

Main Address

9 W. Broad Street Suite 420, Stamford, CT 06902

Mailing Address

Phone number

(203) 504-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 TJT CAPITAL ADV PART 2A (4/3/2025)

2025 TJT CAPTIAL - ADV PART 2B (4/3/2025)

Regulatory assets under management

Total Number of Accounts	194
AUM (Assets Under Management)	$ 294,051,414

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

James A. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James August Cook's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

GENWORTH FINANCIAL ASSET MANAGEMENT, INC

CETERA FINANCIAL SPECIALISTS LLC

SENTRA SECURITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

TJT CAPITAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2000

Series 63

Date: 8/16/1996

Series 6

Date: 7/1/1996

Current Firm

TJT CAPITAL GROUP, LLC

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TJT CAPITAL GROUP, LLC

TRUST BUT VERIFY

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