James F. Laurent

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CRD#: 1447329

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Francis Laurent, who also goes by Jim Laurent, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Laurent

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.

SISTERSOF ST, FRANCIS OF THE PROVIDENCE OF GOD POSITION: FINANCIAL ADVISOR NATURE: RELIGIOUS EDUCATION INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2002 ADDRESS: 3603 MCROBERTS ROAD, PITTSBURGH PA 15234 DESCRIPTION: PRROVIDE ASSISTANCE ALONG WITH OTHER COMMITTEE MEMBERS REGARDING FINANCIAL OPPORTUNITIES AND/OR CONCERNS THAT MAY OCCUR IN THE OPERATION OF THE INSTITUTION. JAMES F. LAURENT & ASSOCIATES, INC. POSITION: President, Vice President and Treasurer, Personal Producing General Agent NATURE: Life Insurance Sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 03/01/1995 ADDRESS: 4701 Baptist Road, PITTSBURGH PA 15227, United States DESCRIPTION: Place insurance as the result of insurance planning

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 19, 2016 - September 2, 2025

CAPITAL ANALYSTS

RIA

CRD#: 162200

Pittsburgh, PA

Past

August 7, 2012 - September 2, 2025

LINCOLN INVESTMENT

RIA

CRD#: 519

PITTSBURGH, PA

Past

June 1, 2012 - September 2, 2025

LINCOLN INVESTMENT

CRD#: 519

PITTSBURGH, PA

Past

July 30, 2002 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

PITTSBURGH, PA

Past

May 16, 2001 - July 31, 2002

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

PITTSBURGH, PA

Past

February 20, 2001 - July 29, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 22, 1995 - February 20, 2001

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

March 25, 1986 - March 23, 1995

FIDELITY EQUITY SERVICES CORPORATION

CRD#: 17455

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".

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 11/22/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/19/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/30/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

CAPITAL ANALYSTS

CAI ACQUISITION, INC | THE LINCOLN INVESTMENT COMPANIES | CAPITAL ANALYSTS, LLC | CAPITAL ANALYSTS, INC | CAPITAL ANALYSTS

CRD#: 162200 / SEC#: 801-74614

RIA

Registered Investment Advisory firm - (4/17/2012 Approved)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

Phone number

(800) 242-1421

Established

Firm type

Fiscal year end

# of Employees

739

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAPITAL ANALYSTS, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

CAPITAL ANALYSTS, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

Regulatory assets under management

Total Number of Accounts	26,578
AUM (Assets Under Management)	$ 8,713,202,466

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	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.

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Advisor Monitoring

Firm Stability Insights

James F. Laurent

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

CINCINNATI ANALYSTS, INC.

FIDELITY EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

CAPITAL ANALYSTS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/1985

SIE

Date: 10/1/2018

Series 6

Date: 11/19/1985

Series 26

Date: 12/30/1998

Current Firm

CAPITAL ANALYSTS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL ANALYSTS

TRUST BUT VERIFY

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