James Cox is a registered investment advisor, based in Charlotte, NC, with 26 years of industry experience.
Location
1001 Morehead Square Drive, Suite 600, Charlotte, NC, 28203
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Victory Capital Services, INC.Broker
March 2022 - Present · 4 yrs 1 mo
Westend Advisors, LLC
February 2022 - Present · 4 yrs 2 mos
Previous Registrations
Westend Advisors, LLC
February 2020 - February 2022 · 2 yrs
Wells Fargo Clearing Services, LLC
June 2002 - January 2020 · 17 yrs 7 mos
Wells Fargo Clearing Services, LLCBroker
June 2002 - January 2020 · 17 yrs 7 mos
Wachovia Securities, INC.
January 2000 - June 2002 · 2 yrs 5 mos
Wachovia Securities, INC.Broker
February 1999 - June 2002 · 3 yrs 4 mos
State Registrations1 state
NC
Advisor
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Exams
No exam information available for this advisor.