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JC

James J. Chataway

Some features on this profile are disabled
CRD#: 5027817
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 Jonathon Chataway, who also goes by James Jonathon Chataway Mr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2007. James had worked at 2 firms and has passed the Series 7TO, SIE and Series 17 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Jonathon Chataway Mr

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

January 22, 2019 - October 7, 2022

DECKER & CO, LLC

BD
CRD#: 166446
MENLO PARK, CA
Past

February 15, 2007 - June 2, 2010

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, 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

General Industry/Product Exam
RR
Series 7TO
Date: 1/22/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/22/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 17
Date: 2/14/2007
Limited Registered Representative Examination

Current Firm

D&
DECKER & CO, LLC
DECKER & CO, LLC

CRD#: 166446 / SEC#: , 8-69211

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
700 El Camino Real Suite 120, Menlo Park, CA 94025
Mailing Address
700 El Camino Real Suite 120, Menlo Park, CA 94025
Phone number
(415) 830-9890
Established
Delaware since 10/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DECKER, MARK BRANDONCCO/CEO/MANAGING MEMBER5692814
KORNSRI, HARINSHAREHOLDER6157452
PHANSUWON, KUNJANAPHANSHAREHOLDER6157450
ONESTO, RICHARD ERNESTFINOP2453096

Disclosures

Regulatory Event2

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

DECKER & CO, LLC

CRD#: 166446

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