James D Cogswell

Current Employers

Stillwater Investments

Smithfield, RI • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2011-01-13
RI	RA	APPROVED	2010-11-15

MA RA
APPROVED

Since 2011-01-13
RI RA
APPROVED

Since 2010-11-15

Branch Locations

Smithfield, RI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stillwater Investments	Smithfield	RI	11/2010	Present

11/2010 → Present

Stillwater Investments

Smithfield, RI

Previous Registrations

2005-10-26 → 2010-11-15

Oppenheimer & Co. Inc.

Providence, RI

Providence, RI

Other Businesses

RE/MAX Properties Not Investment Related 1417 Douglas Ave N.Providence RI 02904 Real Estate Agent 09/1/2019 20 Hours per week Helping people buy and sell homes

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-10-25
S63	Uniform Securities Agent State Law Examination	2000-06-05

S65 Uniform Investment Adviser Law Examination

2005-10-25
S63 Uniform Securities Agent State Law Examination

2000-06-05

View on SEC IAPD