JC
James G. Cordell
INTERCAROLINA FINANCIAL SERVICES
CHAPEL HILL, NC 27517
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CRD#: 2200732
JC
Professional summary
James Gregory Cordell is a registered financial advisor currently at INTERCAROLINA FINANCIAL SERVICES, INC. located in Chapel Hill, North Carolina.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
I PLAY MANDOLIN IN A BLUEGRASS BAND APPROX 10 HRS PER MONTH. THE NAME OF THE BAND IS GUILTY PLEASURES, MY TITLE IS BAND MEMBER, AND MY DUTIES ARE TO PLAY THE MANDOLIN. THIS IS A NON INVESTMENT RELATED ACTIVITY. THIS ACTIVITY DOES NOT TAKE PLACE DURING SECURITIES TRADING HOURS. THE ADDRESS IS MY HOME 500 MORGAN CREEK RD CHAPEL HILL, NC 27517. I STARTED THIS RELATIONSHIP ON 5/31/2011. I am also the President of the Cordell Group, Inc. The Cordell Group is a pass through S Corp . Date started 1995 Located at 3300 Battleground Ave suite 301 Greensboro, NC 27410 40 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view James Gregory Cordell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Gregory Cordell's 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®
NoneExperience
Current
December 8, 2010 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 500 Morgan Creek Rd, Chapel Hill, NC 27517Office #2: 3300 Battleground Ave. Suite 330, Greensboro, NC 27410RIA
BD
CRD#: 19475
CHAPEL HILL, NC
Current
December 8, 2010 - Present
INTERCAROLINA FINANCIAL SERVICES, INC.
Office #1: 3300 Battleground Ave. Suite 330, Greensboro, NC 27410RIA
BD
CRD#: 19475
Greensboro, NC
Past
June 1, 2009 - January 10, 2011
MORGAN STANLEY
RIA
CRD#: 149777
DURHAM, NC
Past
June 1, 2009 - January 10, 2011
MORGAN STANLEY
BD
CRD#: 149777
DURHAM, NC
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
DURHAM, NC
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
DURHAM, NC
Past
January 24, 1992 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(7/11/2024)
RR
Florida(6/26/2013)
RR
Georgia(6/26/2013)
RR
Maryland(3/16/2018)
RR
New York(12/16/2021)
RR
North Carolina(12/8/2010)
IAR
North Carolina(12/8/2010)
RR
South Carolina(6/26/2013)
RR
Texas(6/26/2013)
RR
Virginia(12/8/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTERCAROLINA FINANCIAL SERVICES, INC.
INTERCAROLINA FINANCIAL | INTERCAROLINA FINANCIAL SERVICES, INC. | INTERCAROLINA FINANCIAL SERVICES
CRD#: 19475 / SEC#: 801-121339, 8-37519
RIA
Registered Investment Advisory firm - SEC (5/28/2021 Approved)California
Registered Investment Advisory firm - SEC (8/12/2021 Terminated)Florida
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Kentucky
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/11/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (8/13/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (5/25/2016 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)North Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (12/15/2016 Terminated)South Carolina
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)South Dakota
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)Virginia
Registered Investment Advisory firm - SEC (11/19/2009 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (7/13/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
3300 Battleground Avenue Suite 202 Suite 202, Greensboro, NC 27410
Mailing Address
3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447
Phone number
(336) 288-6890
Established
North Carolina since 09/17/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
14
SEC notice filing (12 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 381 |
| AUM (Assets Under Management) | $ 130,750,464 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
Company Information
INTERCAROLINA FINANCIAL SERVICES, INC.
CRD#: 19475Chapel Hill, NC 27517TRUST BUT VERIFY
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Contact information
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