TrueAdvisor
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JC
CFP · ChFC
JC
CFP · ChFC

James Cole

Mariner
28 Years of Experience
Memphis, TN
View SEC Summary
View SEC Summary

James Cole is a CFP, ChFC-designated registered investment advisor at Mariner, based in Memphis, TN, with 28 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 11 more. Their firm serves 55,512 clients with $130B in assets under management.

Mariner
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
985 advisors
Number of Clients
55,512 clients
Average Client Portfolio
$2.3M average
Assets Under Management
$125.4B

Fee Structure

Minimum Investment:$100K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$7,500
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.25%
$1.0M - $5.0M1.00%
$5.0M - $10.0M0.80%
$10M+0.60%

Fees are subject to negotiation. Subject to a minimum quarterly fee of $1,875. Certain alternative strategies and specialized accounts may incur separate strategy fees or third-party manager fees.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1661 International Drive, Ste. 400, Memphis, TN, 38120

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History

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.

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Employment History
Current Registrations
Mariner
February 2023 - Present · 3 yrs 9 mos
Previous Registrations
First Horizon Advisors, INC
August 2017 - February 2023 · 5 yrs 6 mos
First Horizon Advisors, INC.Broker
August 2017 - February 2023 · 5 yrs 6 mos
Bok Financial Advisors
September 2006 - August 2017 · 10 yrs 11 mos
Bok Financial Securities, INC.Broker
September 2006 - August 2017 · 10 yrs 11 mos
Ftb Advisors, INC.
February 2002 - August 2006 · 4 yrs 6 mos
First Tennessee Brokerage, INC.Broker
May 2000 - August 2006 · 6 yrs 3 mos
American Express Financial Advisors INC.Broker
November 1997 - May 2000 · 2 yrs 6 mos
Ids Life Insurance CompanyBroker
November 1997 - May 2000 · 2 yrs 6 mos
State Registrations1 state
TN
Advisor

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.
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