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
EP

Eric J. Palm

COGNITIVE CAPITAL
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2836979
EP

Professional summary

Eric Jay Palm, who also goes by Eric Palm, is a registered financial professional currently at COGNITIVE CAPITAL, LLC located in Chicago, Illinois.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 2 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 31 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Palm

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 Eric Jay Palm's 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

July 8, 2024 - Present

COGNITIVE CAPITAL, LLC

Office #1: 141 W Jackson # 1620, Chicago, IL 60604Office #2: 141 W Jackson Blvd # 1620, Chicago, IL 60604
BD
CRD#: 131272
Chicago, IL
Past

March 30, 2009 - June 28, 2024

COGNITIVE CAPITAL, LLC

BD
CRD#: 131272
CHICAGO, IL
Past

January 28, 1997 - July 30, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 2/7/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/30/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 2/13/1997
Futures Managed Funds Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CC
COGNITIVE CAPITAL, LLC
COGNITIVE CAPITAL, LLC

CRD#: 131272 / SEC#: , 8-66442

BD
Broker-Dealer Firm Regulated by FINRA (Chicago 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
141 W Jackson # 1620, Chicago, IL 60604
Mailing Address
141 W Jackson # 1620, Chicago, IL 60604
Phone number
(312) 431-0400
Established
Illinois since 03/22/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARTHUR S. MARGULIS LIVING TRUST DATED 2/24/1998MANAGING MEMBER
MARK AND BETSY CARROLL FAMILY REVOCABLE TRUSTMEMBER
THE M & C BUCKLEY FAMILY REVOCABLE TRUST DATED 10/13/2020MEMBER
BUCKLEY, MATTHEW EDWARDTRADING MANAGER, TRUSTEE5130690
CARROLL, MARK WILLIAMCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, TRUSTEE5077727
MARGULIS, ARTHUR SIDNEY JRMANAGING PRINCIPAL, TRUSTEE2132364
RIDGES, DAVID BRIANCHIEF TECHNOLOGY OFFICER, TRUSTEE4662004
THE RIDGES FAMILY 2024 DECLARATION OF TRUST DATED MARCH 1, 2024MEMBER

Disclosures

Regulatory Event1

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

COGNITIVE CAPITAL, LLC

CRD#: 131272Chicago, IL 60604

TRUST BUT VERIFY

Monitor Eric Palm

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

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
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.
Powered ByAIRM Analytics