JC
JC
James Cox is a registered investment advisor, based in Baton Rouge, LA, with 31 years of industry experience.
Location
Baton Rouge, LA
Get directionsHistory
Regulatory History (7)
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Customer Dispute
July 2025Pending
Regulatory
June 2017Final
Employment Separation After Allegations
April 2017Customer Dispute
November 2014Settled
Customer Dispute
July 2014Pending
Customer Dispute
June 2012Settled
Customer Dispute
October 2009Pending
Other Business ActivitiesSells Insurance
James is a director at Gratia Management LLC, a non-investment consulting business owned by his son, spending minimal time providing counsel. He is also the sole owner of Premier Wealth, LLC, his primary investment advisory business, and an insurance agent since March 2024, dedicating about 10-20% of his time to selling and servicing life, health, and accident insurance products.
Employment History
Current Registrations
Newbridge Securities Corporation
October 2018 - Present · 7 yrs 7 mos
Newbridge Securities CorporationBroker
October 2018 - Present · 7 yrs 7 mos
Nfsg Corporation
January 2018 - Present · 8 yrs 4 mos
Previous Registrations
Stifel, Nicolaus & Company, Incorporated
July 2015 - April 2017 · 1 yr 9 mos
Stifel, Nicolaus & Company, IncorporatedBroker
July 2015 - April 2017 · 1 yr 9 mos
Sterne Agee Asset Management, INC.
March 2009 - July 2015 · 6 yrs 4 mos
Sterne, Agee & Leach, INC.Broker
March 2009 - July 2015 · 6 yrs 4 mos
Stanford Group Company
February 2008 - March 2009 · 1 yr 1 mo
Stanford Group CompanyBroker
February 2008 - March 2009 · 1 yr 1 mo
Raymond J. Lucia Companies, INC.
March 2006 - February 2008 · 1 yr 11 mos
Rjl Financial Network, L.L.C.
July 2004 - April 2006 · 1 yr 9 mos
Securities America Advisors, INC.
June 2004 - February 2008 · 3 yrs 8 mos
Securities America, INC.Broker
March 1997 - February 2008 · 10 yrs 11 mos
Fsc Securities CorporationBroker
August 1993 - March 1997 · 3 yrs 7 mos
State Registrations4 states
ALFLLATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.