James CookCRD Number: 1140032
Current Firm: Stadion Money Management, LLC
James Cook (CRD# 1140032) is an Investment Advisor Representative working at Stadion Money Management, LLC in Watkinsville, GA and has over 30 years of experience in the finance industry.
Cetera Advisors LLC
Elwood & Goetz Wealth Advisory Group, LLC
State Farm Investment Management Corp.
|Marathon Financial Services Inc.||Watkinsville, GA||Apr 2013 - Current||3|
|Alps Distributors, Inc.||Denver, CO||Apr 2013 - Current||3|
|Stadion Money Management, LLC||Watkinsville, GA||Mar 2012 - Apr 2013||1|
|Mutual Of Omaha Investor Services||Atlanta, GA||May 2009 - Apr 2013||3|
|Unemployed||Atlanta, GA||Sep 2008 - May 2009||< 1|
|Mbsc Securities Corporation||New York, NY||Jul 2007 - Sep 2008||1|
|Dreyfus Service Corporation||New York, NY||Nov 2006 - Jul 2007||< 1|
|Unemployed||Atlanta, GA||Dec 2005 - Nov 2006||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1986|
|S65||NASAA Investment Advisors Law Examination||Dec 1994|
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:
- Financial Issue
- Judgments / Liens
Total Assets Under Management3,736MILLIONS
Total Number of Accounts104,029ACCOUNTS
Average Account Value$35,918
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
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, VT, WA, WI, WV
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