James W. Cox

WESTEND ADVISORS

Charlotte, NC 28203

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CRD#: 3025567

Professional summary

James Walter Cox IV, who also goes by Jim Cox IV, is a registered financial advisor currently at WESTEND ADVISORS, LLC located in Charlotte, North Carolina and VICTORY CAPITAL SERVICES, INC. located in Charlotte, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Cox Iv

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 Walter Cox IV'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

February 1, 2022 - Present

WESTEND ADVISORS, LLC

Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203

RIA

CRD#: 133279

Charlotte, NC

Current

March 14, 2022 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 1001 Morehead Square Drive Suite 600, Charlotte, NC 28203

CRD#: 37059

Charlotte, NC

Past

February 11, 2020 - February 1, 2022

WESTEND ADVISORS, LLC

RIA

CRD#: 133279

Charlotte, NC

Past

June 21, 2002 - January 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

June 15, 2002 - January 7, 2020

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

Past

January 22, 2000 - June 21, 2002

WACHOVIA SECURITIES, INC.

RIA

CRD#: 431

CHARLOTTE, NC

Past

February 22, 1999 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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".

WESTEND ADVISORS, LLC

SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA

Registered Investment Advisory firm - (3/18/2005 Approved)

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

North Carolina
(2/1/2022)

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: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/24/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 5/2/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/19/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 8/18/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 6/26/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

WESTEND ADVISORS, LLC

SOUTHVIEW PARTNERS | WESTEND ADVISORS, LLC | SOUTHVIEW PARTNERS, LLC

CRD#: 133279 / SEC#: 801-63626

RIA

Registered Investment Advisory firm - (3/18/2005 Approved)

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Contact information

Main Address

1001 Morehead Square Drive Suite 600, Charlotte, NC 28203

Mailing Address

Phone number

(704) 556-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTEND ADVISORS, LLC FORM ADV PART 2B 8.1.2025 (8/1/2025)

WESTEND ADVISORS, LLC FORM ADV PART 2A 8.1.2025 (8/1/2025)

Regulatory assets under management

Total Number of Accounts	4,002
AUM (Assets Under Management)	$ 1,699,961,169

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 W. Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Walter Cox IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

VICTORY CAPITAL SERVICES, INC.

WESTEND ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

WESTEND ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 3/26/1999

SIE

Date: 10/1/2018

Series 3

Date: 6/24/2008

Series 31

Date: 5/2/2006

Series 7

Date: 2/19/1999

Series 10

Date: 8/18/2000

Series 9

Date: 6/26/2000

Series 24

Date: 8/31/1999

FINRA

Current Firm

WESTEND ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WESTEND ADVISORS, LLC

TRUST BUT VERIFY

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