James H. Cowles
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 Howard Cowles III, CFP®, who also goes by James Howard Cowles, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1978. James had worked at 5 firms and has passed the Series 65, Series 7 and Series 1 exams.
Core Areas of Focus
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
May 7, 1991 - January 9, 2025
FINANCIAL RESEARCH, INC.
August 1, 1990 - January 12, 1993
PACIFIC HARBOR SECURITIES, INC.
October 26, 1989 - August 14, 1990
SUNAMERICA SECURITIES, INC.
March 17, 1989 - May 2, 1989
KOCHCAPITAL
May 18, 1978 - January 30, 1989
MF GLOBAL INC.
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 1
Date: 5/9/1978
Registered Representative ExaminationCurrent Firm
FINANCIAL RESEARCH, INC.
CRD#: 116963 / SEC#: 801-63243
Contact information
Regulatory assets under management
| Total Number of Accounts | 156 |
| AUM (Assets Under Management) | $ 79,465,327 |
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.
