James F. Cottrell
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 Francis Cottrell, who also goes by James F Cottrell, Jim F Cottrell, Jim Cottrell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2004 - August 11, 2009
FINANCIAL CONSULTANT GROUP, LLC
July 14, 1997 - November 23, 2004
FCG ADVISORS, LLC
July 29, 1994 - May 29, 1997
MORGAN STANLEY DW INC.
February 23, 1993 - July 29, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 19, 1986 - March 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
FINANCIAL CONSULTANT GROUP, LLC
CRD#: 25644 / SEC#: , 8-41938
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COOK, CHRISTOPHER JOSEPH | PRESIDENT, SECTY,TREAS,FINOP,,MSP,GSP,CHIEF COMPLIANCE OFFICER | 2800929 |
Disclosures
| Regulatory Event | 1 |
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.
