James Y. Palmer
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 Young Palmer, who also goes by James Y Palmer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1962. James had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 5, PC, Series 1, Series 10, Series 53, Series 9, Series 24, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2007 - January 10, 2022
COKER & PALMER
May 20, 1996 - January 10, 2022
COKER & PALMER
April 5, 1984 - May 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - November 1, 1985
MORGAN STANLEY DW INC.
September 13, 1977 - May 7, 1984
MORGAN STANLEY DW INC.
October 19, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
February 23, 1962 - December 19, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 2/24/1982
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 2/23/1962
Registered Representative ExaminationSeries 40
Date: 4/8/1977
Registered Principal ExaminationSeries 12
Date: 3/3/1977
NYSE Branch Manager ExaminationCurrent Firm
COKER & PALMER
CRD#: 29163 / SEC#: 801-77645, 8-44129
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 428 |
| AUM (Assets Under Management) | $ 244,065,071 |
Disclosures
| Regulatory Event | 7 |
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.
