James Clancy, financial advisor Cromwell CT

James Clancy

CRD Number: 1330063
Current Firm: Lpl Financial LLC

James Clancy (CRD# 1330063) is an Investment Advisor Representative working at Lpl Financial LLC in Cromwell, CT and has over 35 years of experience in the finance industry.

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Advice And Planning Services
Company Name Location Dates Years
Lpl Financial LLC Cromwell, CT Dec 2019 - Current 1
Infinex Investments, Inc. Meriden, CT Feb 2014 - Nov 2019 5
Ing Investments Distributor, LLC Windsor, CT Jun 2012 - Feb 2014 1
Ing Investment Management Windsor, CT Jun 2012 - Feb 2014 1
Ing Investment Management Company New York, NY Jun 2012 - Feb 2014 1
Morgan Stanley Smith Barney New York, NY Jun 2009 - May 2012 2
Morgan Stanley & Company Incorporated New York, NY Jul 2008 - May 2012 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1985
S66 NASAA Uniform Combined State Law Examination Feb 2008
Disclosure Information

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.

Get Details on the FINRA Advisor Check site
Contact Info for James P. Clancy
Phone Number: 704-733-3300
Registered State(s):
  • CT
By the Numbers
  • Total Assets Under Management
    268,834
    MILLIONS
  • Total Number of Accounts
    1,055,189
    ACCOUNTS
  • Average Account Value
    $254,773
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

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, VI, VT, WA, WI, WV, WY

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