JC
James B. Cox
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Marysville, OH 43040
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CRD#: 4650773
JC
Professional summary
James B Cox, AIF®, CFP® is a registered financial advisor currently at MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC located in Marysville, Ohio.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. James has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
1. Fixed insurance sales; as an agent under the dba name McCarthy & Cox Retirement & Estate Specialists; as of 03/2002, 25% of time spent during business hours, Conducted at branch location; Investment related. 2. Trustee; Family-related trust; as of 2005, 0% of time spent during business hours, Conducted at branch location, Investment related. 3. Co-Owner, McCarthy & Cox Properties, LLC, a real estate holding company; as of 04/01/2015, 1% of time spent during business hours, Conducted at branch location; Investment related. 4. Managing Member and Co-Owner, Bug & Bear Holdings, LLC, a private entity established as a holding company of two other private entities which together own, manage, and operate a golf course; principal office located in Marysville, OH 43040; as of 09/01/2017; approximately 10% time spent during business hours; Not conducted at branch location; Investment related. 5. Member and Co-Owner (through Bug & Bear Holdings, LLC) of Fuzz & B Enterprises, LLC, a private entity established for the purpose of owning the land and equipment that operates a golf course located at 17483 Robinson Road, Marysville, OH 43040; as of 09/07/2017; approximately less than 1% time spent during business hours; Not conducted at branch location; Investment related. 6. Member and Co-Owner (through Bug & Bear Holdings, LLC) of The Ridge Golf and Gardens, LLC, a private entity established as an operating company for a golf course located at 17487 Robinson Road, Marysville, OH 43040; as of 09/07/2017; approximately 10% time spent during business hours; Not conducted at branch location; Investment related. 7. Co-owner, Yellow Finch Financial, LLC; a private entity established to facilitate securities, advisory, and insurance business; as of 6/01/2021; Less than 5% of time spent during business hours; Conducted at branch; Investment related. 8. Owner, Fuzz Properties, LLC, an entity created for the purpose of buying and managing commercial real estate at 16845 Raintree Dr Marysville OH 43040, as of 07/09/2023; Less than 1% of time spent during business hours; Conducted at branch; Not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view James B Cox'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®
CFP®
Start date: 2006
Experience
Current
December 21, 2023 - Present
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Office #1: 127 W. 5th Street, Marysville, OH 43040RIA
CRD#: 328478
Marysville, OH
Past
January 23, 2007 - December 31, 2023
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
MARYSVILLE, OH
Past
January 22, 2007 - December 31, 2023
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
MARYSVILLE, OH
Past
March 2, 2004 - January 23, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
MARYSVILLE, OH
Past
March 2, 2004 - May 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 2, 2004 - January 23, 2007
OSAIC FA, INC.
BD
CRD#: 3978
MARYSVILLE, OH
Past
December 4, 2003 - February 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLUMBUS, OH
Past
June 30, 2003 - February 17, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
CRD#: 328478 / SEC#: 801-128995
RIA
Registered Investment Advisory firm - (3/4/2024 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
Ohio(12/22/2023)
IAR
Texas(12/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
M&
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
MCCARTHY & COX | YELLOW FINCH FINANCIAL, LLC | MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
CRD#: 328478 / SEC#: 801-128995
RIA
Registered Investment Advisory firm - (3/4/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
127 W. 5th Street, Marysville, OH 43040
Mailing Address
Phone number
(937) 644-0351
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,156 |
| AUM (Assets Under Management) | $ 641,806,550 |
Red Flags
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Company Information
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
CRD#: 328478Marysville, OH 43040TRUST BUT VERIFY
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