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JC

James P. Coulter

Some features on this profile are disabled
CRD#: 3045580
JC

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.

James Paul Coulter, who also goes by Jamie Coulter, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1998. James had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Coulter

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

August 25, 2017 - January 25, 2018

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
Boca Raton, FL
Past

January 31, 2014 - August 31, 2015

COHEN & COMPANY SECURITIES, LLC

BD
CRD#: 149758
BOCA RATON, FL
Past

November 3, 2011 - January 31, 2014

JVB FINANCIAL GROUP, LLC

BD
CRD#: 104412
BOCA RATON, FL
Past

June 22, 2010 - May 18, 2011

AK CAPITAL LLC

BD
CRD#: 28345
DEERFIELD BEACH, FL
Past

January 27, 2010 - May 20, 2010

BONDS.COM LLC

BD
CRD#: 43875
BOCA RATON, FL
Past

January 23, 2007 - December 19, 2008

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

March 18, 2004 - January 3, 2005

REDWOOD TRADING, LLC

BD
CRD#: 114774
SAN FRANCISCO, CA
Past

August 14, 2002 - March 11, 2004

REDWOOD TRADING, LLC

BD
CRD#: 114774
SAN FRANCISCO, CA
Past

April 17, 2001 - September 24, 2001

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

June 7, 2000 - March 16, 2001

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

August 28, 1998 - April 24, 1999

FRANKLIN ROSS, INC.

BD
CRD#: 43610
PRINCETON, NJ

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
RR
Series 63
Date: 2/9/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/27/1998
General Securities Representative Examination

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)
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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#: 38901

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