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JC

James A. Cosman

ALPINE SECURITIES
Salt Lake City, UT 84111
Some features on this profile are disabled
CRD#: 7208854
JC

Professional summary

James Aaron Cosman, who also goes by James A. Cosman, is a registered financial professional currently at ALPINE SECURITIES CORPORATION located in Salt Lake City, Utah.

James is registered as a RR (Registered Representative) and started their career in finance in 2021. James has worked at 1 firm and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James A. Cosman

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 Aaron Cosman'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

March 30, 2021 - Present

ALPINE SECURITIES CORPORATION

Office #1: 39 Exchange Place, Salt Lake City, UT 84111
BD
CRD#: 14952
Salt Lake City, UT

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

Principal/Supervisory Exam
RR
Series 27
Date: 3/30/2021
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

AS
ALPINE SECURITIES CORPORATION
ALPINE SECURITIES CORPORATION

CRD#: 14952 / SEC#: , 8-31464

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

Main Address
39 Exchange Place, Salt Lake City, UT 84111
Mailing Address
39 Exchange Place, Salt Lake City, UT 84111
Phone number
(801) 320-1334
Established
Utah since 01/11/1984
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SCA CLEARING LLCSOLE SHAREHOLDER
COSMAN, JAMES AARONFINOP7208854
FOX, ROBERT MICHAELCCO4420688
HURRY, JOHN JOSEPHCCO - INVESTMENT ADVISER2146449
MARATEA, RAYMOND JERRYCEO2538056
WALSH, JOSEPH PATRICKCOO1519958

Disclosures

Regulatory Event45
Civil Event2
Arbitration1

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

ALPINE SECURITIES CORPORATION

CRD#: 14952Salt Lake City, UT 84111

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