James L. Cockerill

CAIS CAPITAL LLC

NEW YORK, NY 10022

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CRD#: 6113878

Professional summary

James Louis Cockerill, who also goes by James Louis Cockerill, James Cockerill, Jim Cockerill, Jimmy Cockerill, James L Cockerill, is a registered financial professional currently at CAIS CAPITAL LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2012. James has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Louis Cockerill | James Cockerill | Jim Cockerill | Jimmy Cockerill | James L Cockerill

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) - BD

Click below to view James Louis Cockerill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 4, 2024 - Present

CAIS CAPITAL LLC

Office #1: 527 Madison Avenue 2nd Floor & 8th Floor, New York, NY 10022

CRD#: 154512

NEW YORK, NY

Past

October 4, 2021 - October 25, 2024

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

September 29, 2021 - October 25, 2024

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

January 16, 2014 - September 21, 2021

LORD, ABBETT & CO. LLC

RIA

CRD#: 110391

JERSEY CITY, NJ

Past

November 4, 2013 - September 21, 2021

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

September 27, 2012 - September 18, 2013

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(11/4/2024)

New York
(11/4/2024)

Texas
(11/4/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/13/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/9/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/26/2012

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAIS CAPITAL LLC

CRD#: 154512 / SEC#: , 8-68646

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Mailing Address

527 Madison Avenue 2nd Floor, New York, NY 10022

Phone number

(212) 300-9350

Established

Delaware since 07/27/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
CAPITAL INTEGRATION SYSTEMS LLC	PARENT/OWNER
BROWN, MATTHEW CRAWFORD	CEO/MEMBER/EXECUTIVE REP.	2160159
COLLINS, MICHAEL PATRICK	CCO	5366193
KRZAK, ALEXANDER JACOB	POO	6349160
PARISE, JANICE DRU	FINOP/PFO	2338583
PREMSELAAR, MARC KLEIN	SENIOR MANAGING DIRECTOR	5395973
SHANNON, TIMOTHY BRIAN	PRESIDENT	4461906
WALKER, BRADLEY JAY	SENIOR MANAGING DIRECTOR	5000838

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

James L. Cockerill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Louis Cockerill's CRS (Customer Relationship Summary).

Certified licenses

Experience

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

LORD, ABBETT & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

VANGUARD MARKETING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 1/13/2014

Series 63

Date: 10/9/2012

SIE

Date: 10/1/2018

Series 7

Date: 9/26/2012

FINRA

Current Firm

CAIS CAPITAL LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CAIS CAPITAL LLC

TRUST BUT VERIFY

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