James N. Cantalupo

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CRD#: 4312957

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"?

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.

CRD#: 106578

MELVILLE, NY

Past

January 17, 2012 - September 11, 2012

EKN FINANCIAL SERVICES INC.

CRD#: 113525

MELVILLE, NY

Past

June 9, 2009 - January 18, 2012

BROOKSTONE SECURITIES, INC.

CRD#: 13366

GARDEN CITY, NY

Past

January 15, 2009 - June 5, 2009

AURA FINANCIAL SERVICES, INC.

CRD#: 42822

MELLVILLE, NY

Past

October 29, 2008 - November 20, 2008

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

April 4, 2008 - June 19, 2008

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

WEST PALM BEACH, FL

Past

October 6, 2006 - April 3, 2008

PRESTIGE FINANCIAL CENTER, INC.

CRD#: 30407

NEW YORK, NY

Past

August 14, 2006 - November 3, 2006

GREAT EASTERN SECURITIES, INC.

CRD#: 2061

NEW YORK, NY

Past

April 14, 2005 - August 28, 2006

JOSEPH STEVENS & CO., INC.

CRD#: 35459

NEW YORK, NY

Past

November 28, 2003 - April 21, 2005

S.W. BACH & COMPANY

CRD#: 43522

PORT WASHINGTON, NY

Past

November 20, 2002 - December 12, 2003

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

January 2, 2002 - November 20, 2002

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

May 10, 2001 - January 2, 2002

LADENBURG THALMANN & CO. INC.

CRD#: 505

NEW YORK, NY

Past

December 19, 2000 - May 14, 2001

LADENBURG CAPITAL MANAGEMENT INC.

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

Series 63

Date: 1/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/15/2000

General Securities Representative Examination

Current Firm

C.K. COOPER & COMPANY, INC.

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

Terminated by SEC on 08/30/2013

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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

Name	Position	CRD#
C & K CAPITAL CORPORATION	SOLE SHAREHOLDER
CHEN RODRIGUEZ, OTILIA DEL CARMEN	CCO/COO/SROP/AMLCO/MANAGING DIRECTOR	5041049
MONTANO, ALEXANDER GENE	PRESIDENT/CFO/FINOP/TREASURER/MANAGING DIRECTOR	1961932

Disclosures

Regulatory Event	4
Arbitration	1

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James N. Cantalupo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EKN FINANCIAL SERVICES INC.

BROOKSTONE SECURITIES, INC.

AURA FINANCIAL SERVICES, INC.

JOHN THOMAS FINANCIAL

NEWBRIDGE SECURITIES CORPORATION

PRESTIGE FINANCIAL CENTER, INC.

GREAT EASTERN SECURITIES, INC.

JOSEPH STEVENS & CO., INC.

S.W. BACH & COMPANY

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

LADENBURG THALMANN & CO. INC.

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2001

Series 7

Date: 12/15/2000

Current Firm

C.K. COOPER & COMPANY, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

C.K. COOPER & COMPANY, INC.

TRUST BUT VERIFY

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