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JM

James L. Mccoy

HERBERT J. SIMS & CO
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 3024057
JM

Professional summary

James Labon Mccoy III, who also goes by James Labon Mccoy, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Charlotte, North Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 52, Series 7, Series 6, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Labon Mccoy

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) - BD

Click below to view James Labon Mccoy III'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

October 3, 2017 - Present

HERBERT J. SIMS & CO, INC.

Office #1: Curran Building 13950 Ballantyne Corporate Place Suite 110, Charlotte, NC 28277
BD
CRD#: 3420
Charlotte, NC
Past

April 26, 2017 - October 10, 2017

P.R. GILBOY & ASSOCIATES, INC.

BD
CRD#: 46764
CHARLOTTE, NC
Past

July 1, 2004 - July 5, 2013

FIRST TRYON SECURITIES, LLC

BD
CRD#: 7336
CHARLOTTE, NC
Past

January 1, 2003 - June 28, 2004

BACAP DISTRIBUTORS, LLC

RIA
CRD#: 46088
CHARLOTTE, NC
Past

January 1, 2003 - June 28, 2004

BACAP DISTRIBUTORS, LLC

BD
CRD#: 46088
CHARLOTTE, NC
Past

August 28, 2001 - January 1, 2003

STEPHENS

RIA
CRD#: 3496
CHARLOTTE, NC
Past

April 29, 1998 - January 1, 2003

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
North Carolina
(10/12/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/2017
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/25/2001
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 4/19/2004
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/15/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/28/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/21/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/29/2018
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HJ
HERBERT J. SIMS & CO, INC.
HERBERT .J SIMS & CO, INC. | HERBERT J. SIMS & CO. INC. | HERBERT J. SIMS & CO, INC.

CRD#: 3420 / SEC#: , 8-3315

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
2150 Post Road Suite 301, Fairfield, CT 06824
Mailing Address
2150 Post Road Suite 301, Fairfield, CT 06824
Phone number
(203) 418-9000
Established
Delaware since 12/12/2012
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TEKSYS CORPORATIONOWNER
DIAMOND, JASON HOWARDCHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL2320884
RULNICK, AARON MDIRECTOR3149315
HEBERT, VALERIECHIEF COMPLIANCE OFFICER4007252
MULLANE, DANIEL JOSEPHMANAGING PRINCIPAL1246435
SANDS, R JEFFREYDIRECTOR4285040
SIMS, WILLIAM BARNETTPRESIDENT/CEO425019

Disclosures

Regulatory Event8
Arbitration2

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

HERBERT J. SIMS & CO, INC.

CRD#: 3420Charlotte, NC 28277

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