James D. Cogswell

STILLWATER INVESTMENTS

Smithfield, RI

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CRD#: 4159200

Professional summary

James D Cogswell is a registered financial advisor currently at STILLWATER INVESTMENTS located in Smithfield, Rhode Island.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

RE/MAX Properties Not Investment Related 1417 Douglas Ave N.Providence RI 02904 Real Estate Agent 09/1/2019 20 Hours per week Helping people buy and sell homes

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James D Cogswell's 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

November 15, 2010 - Present

STILLWATER INVESTMENTS

RIA

CRD#: 155411

Smithfield, RI

Past

October 26, 2005 - November 15, 2010

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

PROVIDENCE, RI

Past

July 29, 2005 - November 15, 2010

OPPENHEIMER & CO. INC.

CRD#: 249

PROVIDENCE, RI

Past

May 25, 2000 - August 3, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Massachusetts
(1/13/2011)

IAR

Rhode Island
(11/15/2010)

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: 10/25/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/5/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 6/23/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/24/2000

General Securities Representative Examination

Current Firm

STILLWATER INVESTMENTS

COGSWELL, JAMES D | STILLWATER INVESTMENTS

CRD#: 155411 / SEC#:

Massachusetts

Registered Investment Advisory firm - (1/13/2011 Approved)

Rhode Island

Registered Investment Advisory firm - (11/12/2010 Approved)

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Contact information

Main Address

Smithfield, RI

Mailing Address

Phone number

(401) 935-3587

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 2,600,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James D. Cogswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James D Cogswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

STILLWATER INVESTMENTS

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2005

Series 63

Date: 6/5/2000

Series 31

Date: 6/23/2000

Series 7

Date: 5/24/2000

Current Firm

STILLWATER INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STILLWATER INVESTMENTS

TRUST BUT VERIFY

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