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James William Appel

Cohen Capital

Chicago, IL

Sarasota, FL

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Current Employers
Cohen Capital

303 East Wacker Drive Suite 2103, Chicago, IL 60601 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-01-27
  • FL RA
    APPROVED
    Since 2026-01-27

Branch Locations

303 East Wacker Drive Suite 2103, Chicago, IL 60601 • United States

Sarasota, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Sarasota FL 05/2007 01/2026
Cohen Capital Advisors, Llc Sarasota FL 01/2026 Present
Previous Registrations
  • 2007-05-11 → 2026-01-21
    Raymond James & Associates, Inc.
    Chicago, IL
    Winnetka, IL
    Sarasota, FL
    Sarasota, FL
    Chicago, IL
    Charlevoix, MI
    Charlevoix, MI
    Chicago, IL
    Sarasota, FL
    Charlevoix, MI
    Sarasota, FL
  • 2007-04-02 → 2007-05-14
    Morgan Stanley & Co. Llc
    Winnetka, IL
  • 2001-04-09 → 2007-04-02
    Morgan Stanley Dw Inc.
    Winnetka, IL
    Winnetka, IL
Other Businesses

Licensed insurance professional; same address; not investment-related; less than 10% of time.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-03-22
S63 Uniform Securities Agent State Law Examination 1992-09-10
  • S65 Uniform Investment Adviser Law Examination
    2001-03-22
  • S63 Uniform Securities Agent State Law Examination
    1992-09-10
Designations
Other Names
  • James W Appel
  • James William Appel
  • Jim Appel
  • James W Appel

View on SEC IAPD

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PEKIN HARDY STRAUSS, INC.
SPIDERROCK ADVISORS, LLC
PROSPECT PARTNERS ADVISORS LLC
DOYENNE WEALTH ADVISORS

Other Investors

James Michael Franch
HAROLD NELSON LEAVELL
CARLYLE KELLY MADDEN
PHILIP JOHN RIDOLPHI
SUSAN MARY SHACKLETTE
KRISTI LYNN MILLS
NATHANIEL MITCHELL COLEMAN
KEITH MATTHEW CARDOZA

Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

More in Chicago, IL

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