James G. Pontious

STRATEGIC ADVISERS LLC

LAKE ZURICH, IL

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CRD#: 1692930

Professional summary

James G. Pontious, CFP®, who also goes by James Gerard Pontious, Jim Pontious, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Lake Zurich, Illinois and FIDELITY BROKERAGE SERVICES LLC located in Schaumburg, Illinois.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. James has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 4 exams.

Question & Answer

What are your service offerings?

Retirement Income Management

Comprehensive Financial Planni...

Estate Planning

Employee and Employer Plan Ben...

Investment Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

James Gerard Pontious | Jim Pontious

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James G. Pontious'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: 1995

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 1750 E Golf Road Suite 100, Schaumburg, IL 60173-5835

RIA

CRD#: 104555

LAKE ZURICH, IL

Current

February 18, 2021 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 1750 E Golf Road Suite 100, Schaumburg, IL 60173-5835

CRD#: 7784

SCHAUMBURG, IL

Past

March 11, 2021 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SCHAUMBURG, IL

Past

March 29, 2012 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

CHICAGO, IL

Past

March 29, 2012 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

CHICAGO, IL

Past

March 4, 2011 - December 5, 2011

NADLER FINANCIAL GROUP, INC.

RIA

CRD#: 122617

DEERFIELD, IL

Past

December 20, 2010 - December 6, 2011

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

DEERFIELD, IL

Past

May 13, 1999 - September 10, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

KENILWORTH, IL

Past

March 25, 1992 - September 10, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

KENILWORTH, IL

Past

February 15, 1990 - November 18, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

CRD#: 23959

Past

March 16, 1989 - September 13, 1989

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

Past

November 2, 1987 - October 1, 1988

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

July 29, 1987 - August 27, 1987

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

July 29, 1987 - October 13, 1987

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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.

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

Alabama
(1/5/2024)

Arizona
(2/18/2021)

Arkansas
(1/5/2024)

California
(1/5/2024)

Colorado
(5/25/2021)

Connecticut
(1/5/2024)

Florida
(2/18/2021)

Georgia
(1/5/2024)

Illinois
(3/9/2021)

IAR

Illinois
(3/31/2025)

Indiana
(2/18/2021)

Iowa
(5/25/2021)

Kentucky
(1/5/2024)

Louisiana
(1/4/2025)

Maine
(1/4/2025)

Massachusetts
(1/5/2024)

Michigan
(2/18/2021)

Minnesota
(1/5/2024)

Missouri
(1/5/2024)

Montana
(8/27/2024)

Nebraska
(1/5/2024)

Nevada
(1/4/2025)

New Hampshire
(1/4/2025)

New York
(1/5/2024)

North Carolina
(1/5/2024)

North Dakota
(1/4/2025)

Ohio
(1/6/2024)

Oklahoma
(1/5/2024)

Oregon
(1/4/2025)

South Carolina
(1/5/2024)

South Dakota
(1/5/2024)

Tennessee
(5/25/2021)

Texas
(5/25/2021)

IAR

Texas
(3/31/2025)

Virginia
(1/5/2024)

Washington
(1/5/2024)

Wisconsin
(2/18/2021)

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

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/1992

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: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 3/16/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 4

Date: 7/14/1988

Registered Options Principal Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James G. Pontious

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James G. Pontious's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

NADLER FINANCIAL GROUP, INC.

AUSDAL FINANCIAL PARTNERS, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CONTINENTAL GLOBAL FINANCIAL CORPORATION

FIRST OPTIONS OF CHICAGO, INC.

AMERIPRISE ADVISOR SERVICES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2001

Series 63

Date: 4/3/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 3/16/1994

Series 4

Date: 7/14/1988

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

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

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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