James R. Cott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Richard Cott, who also goes by James Richard Cott Jr, Jim Cott, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2019 - November 9, 2021
APEX CLEARING CORPORATION
March 21, 2017 - May 16, 2018
AVANTAX INVESTMENT SERVICES, INC.
June 14, 2012 - February 10, 2017
APEX CLEARING CORPORATION
January 13, 2009 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
January 2, 2008 - June 23, 2008
SCOTTSDALE CAPITAL ADVISORS CORP
October 12, 1999 - December 31, 2007
INVESTIN SECURITIES CORP.
November 25, 1998 - October 22, 1999
FIDELITY BROKERAGE SERVICES 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
Exams
Series 7TO
Date: 2/22/2024
General Securities Representative ExaminationSeries 99TO
Date: 2/22/2024
Operations Professional ExaminationSeries 57TO
Date: 2/22/2024
Securities Trader ExamSeries 55
Date: 11/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
APEX CLEARING CORPORATION
CRD#: 13071 / SEC#: , 8-23522
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | SHAREHOLDER | |
| CAPUZZI, WILLIAM WALTER | CHIEF EXECUTIVE OFFICER | 4323894 |
| COUGHLIN, CONNOR DANIEL | CHIEF CUSTOMER OFFICER | 6665836 |
| DUCKWORTH, PAUL D | FINOP, PRINCIPAL FINANCIAL OFFICER | 3202937 |
| LOUIS-CHARLES, FRITZ | CHIEF OPERATIONS OFFICER (INCLUDES PRINCIPAL OPERATIONS OFFICER ROLE) | 3232698 |
| RAY, TERRY DAVID | CHIEF REVENUE OFFICER | 5295510 |
| TOURNEY, ROBERT ANDREW | CHIEF COMPLIANCE OFFICER | 6251742 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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