James A. Cook
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 Anthony Cook, who also goes by Andy Cook, James A Cook, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2019 - May 13, 2026
BLACKRIDGE ASSET MANAGEMENT, LLC
May 23, 2018 - August 23, 2019
BLACKRIDGE ASSET MANAGEMENT, LLC
December 3, 2012 - September 12, 2013
QUESTAR CAPITAL CORPORATION
May 21, 2012 - December 6, 2012
NEW ENGLAND SECURITIES
December 19, 2003 - April 27, 2012
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
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
Current Firm
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 826 |
| AUM (Assets Under Management) | $ 196,842,156 |
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.
