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JC

James N. Cantalupo

Some features on this profile are disabled
CRD#: 4312957
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 N Cantalupo was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 12 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

September 13, 2012 - December 11, 2012

C.K. COOPER & COMPANY, INC.

BD
CRD#: 106578
MELVILLE, NY
Past

January 17, 2012 - September 11, 2012

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY
Past

June 9, 2009 - January 18, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
GARDEN CITY, NY
Past

January 15, 2009 - June 5, 2009

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
MELLVILLE, NY
Past

October 29, 2008 - November 20, 2008

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

April 4, 2008 - June 19, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
WEST PALM BEACH, FL
Past

October 6, 2006 - April 3, 2008

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
NEW YORK, NY
Past

August 14, 2006 - November 3, 2006

GREAT EASTERN SECURITIES, INC.

BD
CRD#: 2061
NEW YORK, NY
Past

April 14, 2005 - August 28, 2006

JOSEPH STEVENS & CO., INC.

BD
CRD#: 35459
NEW YORK, NY
Past

November 28, 2003 - April 21, 2005

S.W. BACH & COMPANY

BD
CRD#: 43522
PORT WASHINGTON, NY
Past

November 20, 2002 - December 12, 2003

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

January 2, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

May 10, 2001 - January 2, 2002

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
NEW YORK, NY
Past

December 19, 2000 - May 14, 2001

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, 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
RR
Series 63
Date: 1/22/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/2000
General Securities Representative Examination

Current Firm

CC
C.K. COOPER & COMPANY, INC.
C.K. COOPER & COMPANY, INC.

CRD#: 106578 / SEC#: , 8-53020

BD
Terminated by SEC on 08/30/2013
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/08/1987
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
C & K CAPITAL CORPORATIONSOLE SHAREHOLDER
CHEN RODRIGUEZ, OTILIA DEL CARMENCCO/COO/SROP/AMLCO/MANAGING DIRECTOR5041049
MONTANO, ALEXANDER GENEPRESIDENT/CFO/FINOP/TREASURER/MANAGING DIRECTOR1961932

Disclosures

Regulatory Event4
Arbitration1

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

C.K. COOPER & COMPANY, INC.

CRD#: 106578

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