James L. Cecchini
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 Louis Cecchini, who also goes by James Louis Cecchini, James L Cecchini, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2019 - September 28, 2022
PEAK BROKERAGE SERVICES, LLC
January 3, 2017 - February 21, 2019
LINCOLN INVESTMENT
October 25, 1993 - January 3, 2017
LEGEND EQUITIES CORPORATION
January 26, 1982 - December 31, 1993
LEGEND CAPITAL CORPORATION
January 22, 1979 - December 31, 1993
LEGEND CAPITAL CORPORATION
February 8, 1971 - September 13, 1973
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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 1
Date: 2/2/1971
Registered Representative ExaminationCurrent Firm
PEAK BROKERAGE SERVICES, LLC
CRD#: 157045 / SEC#: , 8-68829
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK REPS, LLC | OWNER | |
| COKER, KAREN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PHILLIPS, DAVID LEVERT | CHIEF INFORMATION SECURITY OFFICER | 2054858 |
| REYNOLDS, MATTHEW MARK | PRESIDENT/FINOP | 4077413 |
| RUDNICK, REGINA MARY | PRESIDENT/HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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