Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Cox is a financial advisor with Morgan Stanley. James has been in the industry since August 1986. James has passed the Series 3, 5, 7, 9, 10, 15, 63 and SIE exams and holds registrations in 38 states and 2 IA registrations. James previously worked at Citigroup Global Markets Inc., Lehman Brothers Inc., and Blinder, Robinson & Co., Inc. James is a licensed agent for Morgan Stanley and is registered with FINRA.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/11/2020 - Present
Morgan Stanley (Long Beach CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LONG BEACH CA)
NY
10/30/1986 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/23/1986 - 07/10/1986
BLINDER, ROBINSON & CO.,INC.
BC
Issued 11/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/1986
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1986
Series 15 - Foreign Currency Options Examination
BC
Issued 11/14/1986
Series 5 - Interest Rate Options Examination
BC
Issued 04/19/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Cox is the right advisor for you? Invested Better is here to help.
