Fred M. Cotsworth
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.
Fred Morse Cotsworth was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1972. Fred had worked at 3 firms and has passed the Series 63, Series 7, Series 41, Series 1, Series 53, Series 4, Series 27, Series 24, Series 14 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2006 - June 24, 2014
JAMES I. BLACK & COMPANY
January 2, 2001 - November 22, 2002
STERN BROTHERS & CO.
May 18, 1972 - December 18, 2000
SMITH, MOORE & CO.
Primary Firm SEC Registration
JAMES I. BLACK & COMPANY
CRD#: 1249 / SEC#: 801-118955, 8-12077
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 41
Date: 4/13/1974
NYSE Allied Member ExaminationSeries 1
Date: 5/6/1972
Registered Representative ExaminationSeries 00
Date: 4/13/1974
General Securities Principal ExaminationCurrent Firm
JAMES I. BLACK & COMPANY
CRD#: 1249 / SEC#: 801-118955, 8-12077
Contact information
SEC notice filing (1 States and Territories)
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLACK, GERALD LEROY | PRESIDENT AND DIRECTOR | 811414 |
| BLACK, JAMES ISSAC III | OWNER | |
| CHARLES, REBECCA B | OWNER | |
| LYONS, DORIS BLACK | TREASURER | |
| BLACK, JENNIFER LEIGH | OWNER | 6400578 |
| BLACK, KATHARINE ANN | OWNER | 6400616 |
| BLACK, STEPHANIE MARIE | OWNER | 6395469 |
| DEAN, JEFFREY MILLER | DIRECTOR | |
| STEADMAN, NATASHA LYNN | CHIEF COMPLIANCE OFFICER | 5161387 |
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 144,067,165 |
Disclosures
| Regulatory Event | 3 |
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.
