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James Labon McCoy

Herbert J. Sims & CO, Inc.

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About James Labon McCoy

James McCoy is a securities professional with over two decades of experience in the financial industry. James is currently registered with Herbert J. Sims & CO, Inc. in Charlotte, NC. James has held previous positions at P.R. Gilboy & Associates, Inc., First Tryon Securities, LLC, BACAP Distributors, LLC, and Stephens Inc. James holds a variety of licenses and registrations including Series 7, 6, 63, 52, 65, 24, and 53. James is also a registered representative in North Carolina.

Firm Information

James McCoy is currently registered with Herbert J. Sims & CO, Inc.. Herbert J. Sims & CO, Inc. is a Corporation, formed on December 12, 2012. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 6 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

41

Total Financial Advisors

Services Offered

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.

Fee Structure

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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James McCoy’s Registration & Firm History

NC

10/03/2017 - Present

Herbert J. Sims & CO, Inc. (CHARLOTTE NC)

NC

04/26/2017 - 10/10/2017

P.R. GILBOY & ASSOCIATES, INC. (CHARLOTTE NC)

NC

07/01/2004 - 07/05/2013

FIRST TRYON SECURITIES, LLC (CHARLOTTE NC)

NC

01/01/2003 - 06/28/2004

BACAP DISTRIBUTORS, LLC (CHARLOTTE NC)

AR

04/29/1998 - 01/01/2003

STEPHENS INC. (LITTLE ROCK AR)

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Licenses & Designations

BC

Issued 04/28/2017

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 06/25/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/21/2020

Series 24 - General Securities Principal Examination

BC

Issued 12/29/2018

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/19/2004

Series 52 - Municipal Securities Representative Examination

BC

Issued 12/15/1999

Series 7 - General Securities Representative Examination

BC

Issued 04/28/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Labon McCoy.
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