James M. Decosta
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 Manuel Decosta, who also goes by James M Decosta, James Manual Decosta, Jim Decosta, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2023 - May 1, 2026
SANDBOX FINANCIAL PARTNERS, LLC
March 25, 2017 - December 31, 2022
MML INVESTORS SERVICES, LLC
March 25, 2017 - December 31, 2022
MML INVESTORS SERVICES, LLC
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 22, 2004 - January 2, 2015
NEW ENGLAND SECURITIES
December 11, 2003 - January 2, 2015
NEW ENGLAND SECURITIES
January 1, 2002 - December 3, 2003
EQUITY SERVICES, INC.
September 9, 1997 - December 3, 2003
EQUITY SERVICES, INC.
October 1, 1995 - September 11, 1997
VOYA FINANCIAL ADVISORS, INC.
September 3, 1985 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
June 19, 1983 - October 9, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
SANDBOX FINANCIAL PARTNERS, LLC
CRD#: 297858 / SEC#: 801-113779
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 2
Date: 12/12/1981
Non-Member General Securities ExaminationCurrent Firm
SANDBOX FINANCIAL PARTNERS, LLC
CRD#: 297858 / SEC#: 801-113779
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,590 |
| AUM (Assets Under Management) | $ 681,669,971 |
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.
