Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Everett McCoy is a financial professional with over 25 years of experience in the industry. James has held positions at several prominent financial institutions, including Harbor Funds Distributors, Inc., Nuveen Securities, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., UBS Financial Services Inc., Dreyfus Service Corporation, Allfirst Brokerage Corporation, National Financial Services Corporation and John Nuveen & Co., Incorporated. Currently, James McCoy is registered with Foreside Fund Services, LLC and is licensed to conduct business in Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota and Wisconsin.
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.
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.
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2
CA
07/09/2024 - Present
Foreside Fund Services, LLC (Los Angeles CA)
IL
10/16/2020 - 01/27/2023
HARBOR FUNDS DISTRIBUTORS, INC. (CHICAGO IL)
IL
05/12/2011 - 05/13/2019
NUVEEN SECURITIES, LLC (CHICAGO IL)
IL
06/01/2009 - 05/09/2011
MORGAN STANLEY SMITH BARNEY (CHICAGO IL)
IL
08/22/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NJ
06/18/2002 - 09/05/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/29/2000 - 05/06/2002
DREYFUS SERVICE CORPORATION (NEW YORK NY)
MD
05/25/1999 - 10/01/1999
ALLFIRST BROKERAGE CORPORATION (BALTIMORE MD)
MA
05/01/1998 - 03/25/1999
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
IL
07/13/1993 - 03/06/1998
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
IA
Issued 10/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/14/2015
Series 24 - General Securities Principal Examination
BC
Issued 06/27/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/1994
Series 7 - General Securities Representative Examination
BC
Issued 07/12/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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