Scott J. Cockerham
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.
Scott Joseph Cockerham was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 7 firms and has passed the Series 66, SIE, Series 79, Series 7, Series 3 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
October 18, 2019 - November 5, 2019
XMS CAPITAL PARTNERS, LLC
July 22, 2016 - April 2, 2018
HURON TRANSACTION ADVISORY LLC
March 25, 2015 - July 29, 2016
EIGHT PINES SECURITIES LLC
February 19, 2014 - January 9, 2015
WESTMORELAND CAPITAL CORPORATION
August 16, 2010 - February 17, 2014
PARKMAN WHALING SECURITIES LLC
October 22, 2007 - April 7, 2009
DEUTSCHE BANK SECURITIES INC.
October 22, 2007 - April 7, 2009
DEUTSCHE BANK SECURITIES INC.
October 26, 2005 - July 10, 2007
GOLDMAN SACHS & CO. LLC
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
XMS CAPITAL PARTNERS, LLC
CRD#: 142871 / SEC#: , 8-67502
Contact information
FINRA licenses (34 States and Territories)
Documents
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.
