James Augustine Cotter
Professional Summary
James Augustine Cotter was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1966 - 2012. James had worked at 6 firms and has passed the Series 63, Series 7, Series 5, Series 1, Series 24, Series 4 and Series 40 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
59 years in the financial services industry
Current & Past Employments
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Current Firm
CANTELLA & CO., INC. | CANTELLA SPECIALIST CORP (CEASED BUSINESS 1/31/2002) | CANTELLA INSURANCE AGENCY, INC.
Contact Information
Main Address
389 Main Street 1st Fl., Malden, MA, 02148Phone Number
(617) 521-8630Established
Massachusetts since 05/21/1979Firm Type
CorporationFiscal Year End
MarchFirm Size
Small# of Employees
197Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
5,665AUM (Assets Under Management)
$1,929,399,963Disclosures
Regulatory Event
19Civil Event
1Arbitration
6Bond
5Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | Cover Page | Report |
| 11/27/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Nov 1982Series 1 — Registered Representative Examination
Passed Dec 1966Series 40 — Registered Principal Examination
Passed Dec 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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