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JA

James W. Appel

COHEN CAPITAL
Sarasota, FL
Some features on this profile are disabled
CRD#: 2261893
JA

Professional summary

James William Appel, CFP®, who also goes by James W Appel, Jim Appel, is a registered financial advisor currently at COHEN CAPITAL located in Sarasota, Florida.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

What are your service offerings?
Investment Planning
Comprehensive Financial Planni...
Retirement Planning
Are you a "fiduciary"?
Yes

Aliases

James W Appel | Jim Appel

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Appel's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2005

Experience

Current

January 16, 2026 - Present

COHEN CAPITAL

RIA
CRD#: 339112
Sarasota, FL
Past

May 11, 2007 - January 21, 2026

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Chicago, IL
Past

May 11, 2007 - January 21, 2026

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Chicago, IL
Past

April 2, 2007 - May 14, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WINNETKA, IL
Past

April 2, 2007 - May 14, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WINNETKA, IL
Past

April 9, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WINNETKA, IL
Past

October 9, 2000 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WINNETKA, IL
Past

August 31, 1992 - October 9, 2000

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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.

Highlighted states indicate IAR registrations

IAR
Florida
(1/27/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/22/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/3/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/1/1999
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/31/1999
General Securities Sales Supervisor - Options Module Examination

Current Firm

CC
COHEN CAPITAL
COHEN CAPITAL | COHEN CAPITAL LLC | COHEN CAPITAL ADVISORS, LLC

CRD#: 339112 / SEC#: 801-135124

RIA
Registered Investment Advisory firm - (1/9/2026 120-Day Approval)
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Contact information

Main Address
303 East Wacker Drive Suite 2103, Chicago, IL 60601
Mailing Address
Phone number
(312) 477-3155
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

COHEN CAPITAL DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (1/20/2026)
0

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

COHEN CAPITAL

CRD#: 339112Sarasota, FL

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