James M. Cooke
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 Michael Cooke, who also goes by James Michael Cooke Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 13 firms and has passed the Series 63, Series 7, Series 22 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1990 - July 18, 1990
J. W. GANT & ASSOCIATES, INC.
March 21, 1990 - May 3, 1990
TEXAKOMA FINANCIAL, INC.
August 22, 1986 - December 10, 1986
HOME SHOPPING CLUB SECURITIES, INC.
October 14, 1980 - September 21, 1981
INSTITUTIONAL EQUITY CORPORATION
January 31, 1980 - December 24, 1980
UBS FINANCIAL SERVICES INC.
November 21, 1979 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
May 3, 1979 - November 23, 1979
RAUSCHER PIERCE REFSNES, INC.
March 27, 1978 - January 16, 1980
BUTCHER & SINGER INC.
May 13, 1976 - February 20, 1978
THE CHICAGO CORPORATION
May 10, 1973 - July 12, 1976
SANCTUARY SECURITIES, INC.
August 23, 1972 - September 28, 1972
HAMILTON INVESTMENTS, INC.
February 8, 1972 - May 24, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
May 26, 1971 - February 27, 1972
DOMIK CORP.
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 1
Date: 4/25/1969
Registered Representative ExaminationCurrent Firm
J. W. GANT & ASSOCIATES, INC.
CRD#: 7963 / SEC#: , 8-30910
Contact information
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.
