JN
James J. Nocerino
OSAIC INSTITUTIONS
Wallingford, CT 06492
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CRD#: 1152575
JN
Professional summary
James Jerry Nocerino, who also goes by James J Nocerino, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Wallingford, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 7 firms and has passed the SIE exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James J Nocerino
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.
1.)VARIOUS LIFE INSURANCE COMPANIES, TRAILS/RENEWALS ONLY
2.) PROPERTY AND CASUALTY SALES AND SERVICE. 6 NORTH MAIN STREET WALLINGFORD, CT 06492. STARTED IN 1970. APPROX 3-4 HOURS PER MONTH, 1-2 DURING TRADING HOURS. SALES SERVICE FOR EXISTING AND NEW ACCOUNTS, COMMISSION SALES.
3.) JJN WEALTH MANAGEMENT, LLC. 6 NORTH MAIN STREET, WALLINGFORD, CT 06492. OWNER/CEO. JAN 2015. APPROX 10 HOURS PER DAY. ALL DURING TRADING HOURS. YES, INVESTMENT RELATED. ADVISE ON FINANCIAL MATTERS, BUY/SELL ANNUITIES, LIFE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view James Jerry Nocerino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Jerry Nocerino's 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®
NoneExperience
Current
November 20, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6 North Main St, Wallingford, CT 06492RIA
BD
CRD#: 35371
Wallingford, CT
Current
November 20, 2013 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 6 North Main St, Wallingford, CT 06492RIA
BD
CRD#: 35371
Wallingford, CT
Past
May 11, 2011 - November 20, 2013
HARVEST CAPITAL LLC
BD
CRD#: 35723
WALLINGFORD, CT
Past
May 9, 2011 - November 20, 2013
HARVEST CAPITAL ADVISORS, LLC
RIA
CRD#: 125920
WALLINGFORD, CT
Past
January 22, 2010 - June 7, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
BERLIN, CT
Past
September 1, 2005 - January 27, 2010
HARVEST CAPITAL ADVISORS, LLC
RIA
CRD#: 125920
WALLINGFORD, CT
Past
January 22, 2001 - January 22, 2010
HARVEST CAPITAL LLC
BD
CRD#: 35723
WALLINGFORD, CT
Past
April 15, 1999 - January 25, 2001
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
Past
October 15, 1993 - April 21, 1999
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Connecticut(11/20/2013)
RR
Connecticut(11/21/2013)
RR
Florida(11/20/2013)
Exams
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Wallingford, CT 06492TRUST BUT VERIFY
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