JC
James P. Clancy
OSAIC INSTITUTIONS
Mystic, CT 06355
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CRD#: 1330063
JC
Professional summary
James Patrick Clancy is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Mystic, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 31 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)12/09/2019 - Webster Investments - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 12/2019
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Clancy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Patrick Clancy'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
August 12, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Water Street, Mystic, CT 06355Office #2: 273 Hebron Ave, Glastonbury, CT 06033RIA
BD
CRD#: 35371
Mystic, CT
Current
August 12, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2 Water Street, Mystic, CT 06355Office #2: 273 Hebron Ave, Glastonbury, CT 06033RIA
BD
CRD#: 35371
Mystic, CT
Past
December 17, 2019 - June 17, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
MIDDLETOWN, CT
Past
December 12, 2019 - June 17, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
MIDDLETOWN, CT
Past
March 11, 2014 - November 26, 2019
OSAIC INSTITUTIONS, INC.
RIA
CRD#: 35371
Glastonbury, CT
Past
February 28, 2014 - November 26, 2019
OSAIC INSTITUTIONS, INC.
BD
CRD#: 35371
Glastonbury, CT
Past
June 5, 2012 - March 3, 2014
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
NEW YORK, NY
Past
June 5, 2012 - March 3, 2014
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
WINDSOR, CT
Past
June 1, 2009 - June 14, 2012
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
June 1, 2009 - June 14, 2012
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
July 17, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
NEW YORK, NY
Past
July 15, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
January 7, 2008 - August 19, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 19, 2002 - January 28, 2003
KELLOGG CAPITAL MARKETS, LLC
BD
CRD#: 118790
NEW YORK, NY
Past
February 21, 2002 - July 12, 2007
KELLOGG CAPITAL MARKETS, LLC
BD
CRD#: 118790
NEW YORK, NY
Past
January 25, 2002 - April 1, 2002
KELLOGG CAPITAL GROUP LLC
BD
CRD#: 35032
NEW YORK, NY
Past
October 1, 2000 - January 22, 2002
BANC OF AMERICA SPECIALIST, INC.
BD
CRD#: 103971
NEW YORK, NY
Past
April 16, 1998 - August 10, 2000
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
Past
April 14, 1993 - July 17, 1997
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
February 21, 1985 - January 15, 1993
JJC SPECIALIST PARTNERS
BD
CRD#: 3518
NEW YORK, NY
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
RR
Connecticut(8/12/2025)
IAR
Connecticut(8/12/2025)
RR
Florida(8/13/2025)
RR
Maine(8/12/2025)
RR
Massachusetts(8/13/2025)
RR
New Hampshire(8/14/2025)
RR
New Jersey(8/13/2025)
RR
New York(8/15/2025)
RR
Pennsylvania(8/13/2025)
RR
Rhode Island(8/13/2025)
RR
South Carolina(8/14/2025)
RR
Vermont(8/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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#: 35371Mystic, CT 06355TRUST BUT VERIFY
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