James Kos is a registered investment advisor, based in South Portland, ME, with 20 years of industry experience.
Location
30 Donald B Dean Drive, South Portland, ME, 04106
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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 →Other Business ActivitiesSells Insurance
James sells fixed insurance, dedicating minimal time to this activity. This activity is investment-related and conducted at the branch location.
Employment History
Current Registrations
HUB International Investment Services INC.Broker
October 2020 - Present · 5 yrs 7 mos
HUB International Investment Services INC.
October 2020 - Present · 5 yrs 7 mos
Commonwealth Financial Network
April 2017 - Present · 9 yrs 1 mo
Commonwealth Financial Network
May 2011 - Present · 15 yrs
Commonwealth Financial NetworkBroker
May 2011 - Present · 15 yrs
Previous Registrations
Investors Capital CORP.Broker
November 2006 - April 2011 · 4 yrs 5 mos
Mmc Securities CORP.Broker
November 2005 - October 2006 · 11 mos
State Registrations13 states
AZCACOFLMAMENCNHNJRISCVTWI
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.