Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ray Cotto is a financial advisor with Morgan Stanley, a leading financial services firm. James has over 30 years of experience in the financial services industry. His expertise encompasses a wide range of investment strategies, including portfolio management, financial planning, and asset allocation advice. James has a deep understanding of the financial markets and a proven track record of helping clients achieve their financial goals. He holds multiple licenses and designations, including Series 7, 63, 65, 66, 9, and 10. Before joining Morgan Stanley, James worked at a number of other firms including Wachovia Securities, Merrill Lynch, and First Albany Corporation. James has a strong commitment to providing personalized service and guidance to his clients. He is dedicated to helping them understand their investment options and make informed decisions that align with their financial objectives.
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
NY
05/14/2020 - Present
Morgan Stanley (Purchase NY)
NY
04/01/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
04/12/2001 - 04/01/2009
WACHOVIA SECURITIES, LLC (MT KISCO NY)
NY
11/05/1991 - 05/11/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
02/01/1988 - 10/01/1991
FIRST ALBANY CORPORATION (NEW YORK NY)
NA
12/21/1987 - 01/26/1988
MOSELEY SECURITIES CORPORATION
NA
11/06/1987 - 11/25/1987
HYM FINANCIAL, INC.
NA
06/18/1987 - 10/21/1987
THE STUART-JAMES COMPANY, INC.
BOTH
Issued 10/11/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/08/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/23/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/16/1987
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 Cotto is the right advisor for you? Invested Better is here to help.
