James H. Cox
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 Henry Cox III was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - June 1, 2016
CAPITAL FINANCIAL SERVICES, INC.
October 9, 2015 - June 1, 2016
CAPITAL FINANCIAL SERVICES, INC.
July 20, 2012 - January 27, 2014
INTL ADVISORY CONSULTANTS INC.
February 17, 2012 - January 27, 2014
STERNE, AGEE & LEACH, INC.
September 5, 2003 - February 16, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
September 4, 2003 - February 16, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 29, 2000 - September 16, 2003
A. G. EDWARDS & SONS, INC.
September 22, 2000 - September 16, 2003
A. G. EDWARDS & SONS, INC.
June 5, 1990 - October 16, 2000
GRUNTAL & CO., L.L.C.
April 26, 1988 - May 14, 1990
FINANCIAL SQUARE PARTNERS
March 9, 1983 - April 16, 1988
KIDDER, PEABODY & CO. INCORPORATED
March 2, 1983 - March 7, 1983
RODMAN & RENSHAW INC.
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 8
Date: 3/23/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL FINANCIAL SERVICES, INC.
CRD#: 8408 / SEC#: 801-24253, 8-25203
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL FINANCIAL HOLDINGS, INC. | OWNER | |
| CHRISTIANSON, JOANNE MARIE | TREASURER | 5341634 |
| KAPPOTIS, ERNEST D | PRINCIPAL OPERATIONS OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | PRINCIPAL FINANCIAL OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | FINOP | 4871251 |
| POLLARD, DONALD ROBERT | PRESIDENT | 2181631 |
| POLLARD, DONALD ROBERT | CHIEF COMPLIANCE OFFICER | 2181631 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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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