James Covell, financial advisor New York NY
83 score

James Covell

CRD Number: 1243121
Current Firm: Rbc Capital Markets, LLC

James Covell (CRD# 1243121) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in New York, NY and has over 32 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets Corporation New York, NY Mar 2008 - Current 8
Rbc Dain Rauscher Inc. New York, NY Mar 2002 - Mar 2008 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1984
S65 NASAA Investment Advisors Law Examination Dec 1999
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James A. Covell
Phone Number: 212-858-7000
Firm Website: https://www.rbccm.com
Registered State(s):
  • CA
  • NC
  • OH
  • VI
  • LA
  • NJ
  • TX
By the Numbers
  • Total Assets Under Management
    76,274
    MILLIONS
  • Total Number of Accounts
    192,243
    ACCOUNTS
  • Average Account Value
    $396,757
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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