James McCormick
Investment Adviser Representative at Morgan Stanley
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James McCormick is an investment adviser representative with Morgan Stanley in Lutherville, MD, where they have been registered since 2025. They have worked in the securities industry since 2023 and were previously registered with T. ROWE Price Advisory Services, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Maryland and Texas.
Office
Advisors at this office: 83
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Maryland, Texas
- Broker:
35 states and territories
Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Virgin Islands, Virginia, Washington, West Virginia, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Ames WatsonSep 2022 – Nov 2022Columbia, MD
- T. Rowe PriceAug 2021 – Aug 2022Owings Mills, MD
- Towson UniversityAug 2020 – Aug 2021Towson, MD
- University of Maryland, College ParkJan 2018 – Aug 2020College Park, MD
- T. Rowe PriceJan 2023 – Jul 2025Owings Mills, MD
- James Madison UniversityAug 2016 – Dec 2016Harrisonburg, VA
- College of CharlestonJan 2017 – May 2017Charleston, SC
- Anne Arundel Community CollegeJun 2017 – Dec 2017Arnold, MD
- Morgan Stanley Smith Barney LLCOct 2025 – no end date reportedLutherville, MD
- Morgan Stanley Private Bank, N.A.Oct 2025 – no end date reportedNew York, NY
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Morgan Stanley
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Commissions
- Fixed fee
- Performance-based fees
- Other
- Firm account minimum
- $10,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 23,008
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Purchase, NY
- SEC file number:
- 801-70103
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 28, 2026
View full firm profileOther advisors at Morgan Stanley
Showing 12 of 23,008 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James McCormick has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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