James S. Cruice

CFO CAPITAL MANAGEMENT

Fairfield, CT 06824

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CRD#: 1218563

Professional summary

James Seth Hopkins Cruice JR, CFP®, who also goes by Jay Cruice, is a registered financial advisor currently at CFO CAPITAL MANAGEMENT, LLC located in Fairfield, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Investment Planning

Business Succession Planning

Insurance Planning

Estate Planning

Retirement Planning

Comprehensive Financial Planni...

Tax Planning

Education Planning

Are you a "fiduciary"?

Yes

Aliases

Jay Cruice

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) JAMES S.H. CRUICE, CLU - LICENSED INSURANCE AGENT - NON-VARIABLE INSURANCE - WESTPORT, CT - SINCE 03/1987 - INVESTMENT RELATED. (2) CFO CAPITAL MANAGEMENT LLC - MANAGING MEMBER - INVESTMENT RELATED LLC - HOBE SOUND, FL - SINCE 01/2018 - ENTITY HOLDS PERSONAL INVESTMENTS. (3) CRUICE FAMILY PARTNERSHIP LLC - MANAGING MEMBER - INVESTMENT RELATED LLC - HOBE SOUND, FL - SINCE 01/2018 - INVESTMENT RELATED - ENTITY HOLDS PERSONAL/FAMILY ALTERNATIVE INVESTMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Seth Hopkins Cruice JR'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: 1985

Experience

Current

January 16, 1990 - Present

CFO CAPITAL MANAGEMENT, LLC

Office #1: 1305 Post Rd Ste. 202, Fairfield, CT 06824

RIA

CRD#: 110950

Fairfield, CT

Past

December 14, 2017 - February 18, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

WESTPORT, CT

Past

January 3, 1997 - December 15, 2017

SMH CAPITAL INVESTMENTS LLC

CRD#: 24535

WESTPORT, CT

Past

January 22, 1996 - December 31, 1996

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

November 19, 1989 - January 12, 1996

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 22, 1987 - December 31, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 18, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

December 21, 1983 - April 18, 1984

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

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".

CFO CAPITAL MANAGEMENT, LLC

CRD#: 110950 / SEC#: 801-30887

RIA

Registered Investment Advisory firm - (11/13/1987 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

Connecticut
(1/16/1990)

IAR

Florida
(9/2/2021)

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: 7/28/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/14/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/13/1987

General Securities Principal Examination

Current Firm

CFO CAPITAL MANAGEMENT, LLC

CRD#: 110950 / SEC#: 801-30887

RIA

Registered Investment Advisory firm - (11/13/1987 Approved)

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Contact information

Main Address

1305 Post Rd Ste. 202, Fairfield, CT 06824

Mailing Address

Phone number

(203) 221-0202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRUICE FINANCIAL ADV - 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	543
AUM (Assets Under Management)	$ 218,368,226

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 S. Cruice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Seth Hopkins Cruice JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SMH CAPITAL INVESTMENTS LLC

COMMONWEALTH FINANCIAL NETWORK

OSAIC WEALTH, INC.

NEW ENGLAND SECURITIES

INTEGRATED RESOURCES EQUITY CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CFO CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/2003

Series 63

Date: 1/14/1985

SIE

Date: 10/1/2018

Series 7

Date: 12/17/1983

Series 24

Date: 4/13/1987

Current Firm

CFO CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CFO CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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