James G. Durso

BLACKRIDGE ASSET MANAGEMENT

Waterloo, NY 13165

Some features on this profile are disabled

CRD#: 1238404

Professional summary

James Gordon Durso is a registered financial advisor currently at BLACKRIDGE ASSET MANAGEMENT, LLC located in Waterloo, New York and PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) DBA: Commonwealth Financial Group, LLC, Waterloo, NY, advise and manage investments. Lines of Insurance: Life, Health, LTC and Accident since 10/9/16 in NY; (2) Notary in New York, County of Ontario, 10/2018 to present, 9-27 East Main Street, #208, Waterloo, NY, not investment related, not compensated for services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gordon Durso'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®

None

Experience

Current

August 11, 2025 - Present

BLACKRIDGE ASSET MANAGEMENT, LLC

Office #1: 9-27 East Main St, Waterloo, NY 13165

RIA

CRD#: 277085

Waterloo, NY

Current

August 1, 2025 - Present

PEAK BROKERAGE SERVICES, LLC

Office #1: 1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999

CRD#: 157045

Jupiter, FL

Past

October 11, 2017 - July 14, 2025

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

Waterloo, NY

Past

October 11, 2017 - July 14, 2025

CADARET, GRANT & CO., INC.

CRD#: 10641

Waterloo, NY

Past

December 19, 2016 - October 5, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

WATERLOO, NY

Past

January 14, 2011 - October 5, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

WATERLOO, NY

Past

February 25, 2004 - January 27, 2011

COMMUNITY INVESTMENT SERVICES, INC.

CRD#: 46332

INTERLAKEN, NY

Past

May 14, 1999 - March 3, 2004

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

June 2, 1994 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

July 8, 1992 - May 20, 1994

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

January 31, 1991 - June 22, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

July 19, 1988 - January 2, 1991

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

August 20, 1987 - June 2, 1988

GREAT LAKES EQUITIES CO.

CRD#: 16175

Past

April 23, 1987 - September 10, 1987

ROYCE PARK INVESTMENTS, INC.

CRD#: 16539

Past

February 2, 1987 - March 30, 1987

SHERWOOD CAPITAL, INC.

CRD#: 10474

Past

March 22, 1984 - January 31, 1987

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Florida
(10/21/2025)

IAR

New York
(8/11/2025)

New York
(11/4/2025)

North Carolina
(11/5/2025)

Pennsylvania
(9/24/2025)

South Carolina
(11/5/2025)

Virginia
(11/12/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/9/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/21/1984

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: 3/17/1984

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

CRD#: 277085 / SEC#: 801-108114

RIA

Registered Investment Advisory firm - (7/8/2016 Approved)

Florida

Registered Investment Advisory firm - (7/13/2016 Terminated)

New York

Registered Investment Advisory firm - (7/13/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477

Mailing Address

Phone number

(561) 641-5050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BAM_ADV2A (FINAL 9.29.25) (9/29/2025)

Regulatory assets under management

Total Number of Accounts	826
AUM (Assets Under Management)	$ 196,842,156

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.

Similar Advisors

Ardal Powell

EAGLE STRATEGIES LLC

IAR

NEW WINDSOR, NY

James Moore

EDWARD JONES

IAR

Ft Worth, TX

Allison Moran

ONEAMERICA SECURITIES, INC.

Lincolnshire, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James G. Durso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Gordon Durso's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEAK BROKERAGE SERVICES, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

COMMUNITY INVESTMENT SERVICES, INC.

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CAPITAL BROKERAGE CORPORATION

EMPIRE NATIONAL SECURITIES, INCORPORATED

GREAT LAKES EQUITIES CO.

ROYCE PARK INVESTMENTS, INC.

SHERWOOD CAPITAL, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

BLACKRIDGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/2016

Series 63

Date: 3/21/1984

SIE

Date: 10/1/2018

Series 7

Date: 3/17/1984

FINRA

Current Firm

BLACKRIDGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BLACKRIDGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors