James Anthony Cote
Professional Summary
James Anthony Cote, who also goes by Jim A Cote, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1985 - 2017. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 2, Series 22 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim A Cote
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
SANDLAPPER SECURITIES, LLC
Contact Information
Established
South Carolina since 06/30/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 2 — Non-Member General Securities Examination
Passed Sep 1992Series 22 — Direct Participation Programs Representative Examination
Passed Apr 1985About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Feb 1987About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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