Adviser and broker representative · LPL Financial LLC
James A. Cox III
CRD 2942948 · Richmond, VA
At a glance
James A. Cox III is an investment adviser representative with LPL Financial LLC in Richmond, VA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on James’s SEC record dates to 2006, about 20 years ago. James is also registered as a broker representative.
Current advisory firm
- LPL Financial LLCSince June 2006Richmond, VA · $819B in regulatory assets
SEC adviser record
- Registered since
- 2006 (20 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
James’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.