James R. Foxen

CORNERSTONE ADVISORY

HUNT VALLEY, MD 21030

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CRD#: 2460533

Professional summary

James Ross Foxen, who also goes by Jim Foxen, is a registered financial advisor currently at CORNERSTONE ADVISORY located in Hunt Valley, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Foxen

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.

James Foxen is separately licensed as an independent insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ross Foxen'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®

None

Experience

Current

January 29, 2019 - Present

CORNERSTONE ADVISORY

Office #1: 211 Old Padonia Road, Hunt Valley, MD 21030

RIA

CRD#: 142359

HUNT VALLEY, MD

Past

December 22, 2017 - January 22, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Towson, MD

Past

December 22, 2017 - January 22, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

TOWSON, MD

Past

March 6, 2017 - August 14, 2017

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300

CHARLOTTE, NC

Past

April 12, 2016 - March 6, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

December 2, 2013 - April 4, 2016

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

May 2, 2006 - December 4, 2013

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

June 25, 1999 - May 2, 2006

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

Past

March 14, 1994 - October 25, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

CORNERSTONE ADVISORY

CORNERSTONE ADVISORY | CORNERSTONE ADVISORY, LLP | CORNERSTONE ADVISORY, LLC | CORNERSTONE ADVISORY LLP

CRD#: 142359 / SEC#: 801-68058

RIA

Registered Investment Advisory firm - (7/5/2007 Approved)

Maryland

Registered Investment Advisory firm - (7/19/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Maryland
(1/29/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/11/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/24/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CORNERSTONE ADVISORY

CORNERSTONE ADVISORY | CORNERSTONE ADVISORY, LLP | CORNERSTONE ADVISORY, LLC | CORNERSTONE ADVISORY LLP

CRD#: 142359 / SEC#: 801-68058

RIA

Registered Investment Advisory firm - (7/5/2007 Approved)

Maryland

Registered Investment Advisory firm - (7/19/2007 Terminated)

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Contact information

Main Address

211 Old Padonia Road, Hunt Valley, MD 21030

Mailing Address

Phone number

(410) 468-1693

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORNERSTONE ADVISORY, LLC (4/14/2025)

Regulatory assets under management

Total Number of Accounts	2,761
AUM (Assets Under Management)	$ 2,012,336,108

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.

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Advisor Monitoring

Firm Stability Insights

James R. Foxen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ross Foxen's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

BRIGHTHOUSE SECURITIES, LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

COREBRIDGE CAPITAL SERVICES, INC.

METLIFE INVESTORS DISTRIBUTION COMPANY

GLOBAL ATLANTIC DISTRIBUTORS, LLC

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

CORNERSTONE ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/2017

Series 63

Date: 6/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 4/11/2013

Series 6

Date: 6/24/1999

Current Firm

CORNERSTONE ADVISORY

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE ADVISORY

TRUST BUT VERIFY

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