James P. Scanlan

STAGE HARBOR FINANCIAL

WESTWOOD, MA 02090

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CRD#: 1134158

Professional summary

James Patrick Scanlan, CFP®, who also goes by Jim Scanlan, is a registered financial advisor currently at STAGE HARBOR FINANCIAL located in Westwood, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Retirement Planning

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Are you a "fiduciary"?

Yes

Aliases

Jim Scanlan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Scanlan is a licensed insurance agent with various insurance companies. He does not offer clients advice or products related to insurance activities. He may receive trailer commissions from insurance companies on the products he previously offered with Apella.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Scanlan's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

October 25, 2024 - Present

STAGE HARBOR FINANCIAL

Office #1: 100 Lowder Brook Drive Suite #2500, Westwood, MA 02090

RIA

CRD#: 289725

WESTWOOD, MA

Past

April 20, 2017 - February 5, 2019

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

Past

April 20, 2017 - September 13, 2024

APELLA WEALTH

RIA

CRD#: 171106

Providence, RI

Past

February 7, 2012 - July 7, 2016

WASHINGTON TRUST ADVISORS

RIA

CRD#: 110407

WELLESLEY, MA

Past

June 8, 2011 - July 7, 2016

WESTON SECURITIES CORPORATION

CRD#: 15743

WELLESLEY, MA

Past

February 27, 2009 - May 25, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

WARWICK, RI

Past

February 27, 2009 - May 25, 2011

LPL FINANCIAL LLC

CRD#: 6413

WARWICK, RI

Past

May 2, 2006 - March 2, 2009

OSAIC FS, INC.

RIA

CRD#: 3870

WARWICK, RI

Past

September 19, 2005 - March 2, 2009

OSAIC FS, INC.

CRD#: 3870

WARWICK, RI

Past

January 1, 2000 - September 30, 2005

NEW ENGLAND SECURITIES

RIA

CRD#: 615

WARWICK, RI

Past

January 15, 1997 - September 30, 2005

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 9, 1990 - January 3, 1997

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

April 10, 1984 - May 5, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

June 2, 1983 - April 5, 1984

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STAGE HARBOR FINANCIAL

CORTANA ADVISORS, LLC | STAGE HARBOR FINANCIAL, LLC | STAGE HARBOR FINANCIAL

CRD#: 289725 / SEC#: 801-112359

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/25/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/27/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/23/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/1/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/1999

General Securities Principal Examination

Current Firm

STAGE HARBOR FINANCIAL

CORTANA ADVISORS, LLC | STAGE HARBOR FINANCIAL, LLC | STAGE HARBOR FINANCIAL

CRD#: 289725 / SEC#: 801-112359

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

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Contact information

Main Address

100 Lowder Brook Drive Suite #2500, Westwood, MA 02090

Mailing Address

Phone number

(781) 934-3130

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR STAGE HARBOR FINANCIAL, LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	901
AUM (Assets Under Management)	$ 972,886,954

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/02/2025	Cover Page	Report
12/11/2024	Cover Page	Report
12/12/2023	Cover Page	Report
10/14/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James P. Scanlan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Scanlan's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYMMETRY PARTNERS

APELLA WEALTH

WASHINGTON TRUST ADVISORS

WESTON SECURITIES CORPORATION

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FS, INC.

OSAIC FS, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

STAGE HARBOR FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/1999

Series 63

Date: 6/6/1983

SIE

Date: 7/7/2016

Series 7

Date: 4/27/1999

Series 22

Date: 4/23/1984

Series 6

Date: 6/1/1983

Series 24

Date: 7/8/1999

Current Firm

STAGE HARBOR FINANCIAL

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STAGE HARBOR FINANCIAL

TRUST BUT VERIFY

Contact information

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