James Cox
James Cox is a registered investment advisor at Wells Fargo Advisors, based in St Charles, IL, with 17 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
40W304 Lafox Rd, Ste D1, St Charles, IL, 60175
Get directionsHistory
Regulatory History (1)
Customer Dispute
July 2023Other Business Activities
James operates under the DBAs Cefflio Wealth Management and Providence Private Wealth for his LPL business. He also owns Northwest Financial Wealth Management LLC, dedicating about a quarter of his time to it.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors
Previous Registrations
Newedge Advisors
LPL Financial LLCBroker
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Fifth Third Securities, INC.
Fifth Third Securities, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
State Registrations20 states
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
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