James E. Mccoy
Professional summary
James Everett Mccoy, CIMA®, who also goes by Jim Everett Mccoy, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Los Angeles, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Everett Mccoy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 9, 2024 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 333 S. Grand Avenue 18th Floor, Los Angeles, CA 90071April 3, 2023 - May 28, 2024
BRENTVIEW INVESTMENT MANAGEMENT, LLC
April 27, 2021 - January 27, 2023
HARBOR CAPITAL ADVISORS, INC.
October 16, 2020 - January 27, 2023
HARBOR FUNDS DISTRIBUTORS, INC.
May 12, 2011 - May 13, 2019
NUVEEN ASSET MANAGEMENT, LLC
May 12, 2011 - May 13, 2019
NUVEEN SECURITIES, LLC
June 1, 2009 - May 9, 2011
MORGAN STANLEY
June 1, 2009 - May 9, 2011
MORGAN STANLEY
August 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 22, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 21, 2002 - September 5, 2007
UBS FINANCIAL SERVICES INC.
June 18, 2002 - September 5, 2007
UBS FINANCIAL SERVICES INC.
February 29, 2000 - May 6, 2002
BNY MELLON SECURITIES CORPORATION
May 25, 1999 - October 1, 1999
ALLFIRST BROKERAGE CORPORATION
May 1, 1998 - March 25, 1999
NATIONAL FINANCIAL SERVICES LLC
July 13, 1993 - March 6, 1998
NUVEEN SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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