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JP

James G. Pontious

STRATEGIC ADVISERS
LAKE ZURICH, IL
Some features on this profile are disabled
CRD#: 1692930
JP

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
BD
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

BD
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.

BD
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.

BD
CRD#: 5393
KENILWORTH, IL
Past

February 15, 1990 - November 18, 1991

CONTINENTAL GLOBAL FINANCIAL CORPORATION

BD
CRD#: 23959
Past

March 16, 1989 - September 13, 1989

FIRST OPTIONS OF CHICAGO, INC.

BD
CRD#: 13822
CHICAGO, IL
Past

November 2, 1987 - October 1, 1988

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

July 29, 1987 - August 27, 1987

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Past

July 29, 1987 - October 13, 1987

ROBERT W. BAIRD & CO. INCORPORATED

BD
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

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.
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
Alabama
(1/5/2024)
RR
Arizona
(2/18/2021)
RR
Arkansas
(1/5/2024)
RR
California
(1/5/2024)
RR
Colorado
(5/25/2021)
RR
Florida
(2/18/2021)
RR
Georgia
(1/5/2024)
RR
Illinois
(3/9/2021)
IAR
Illinois
(3/31/2025)
RR
Indiana
(2/18/2021)
RR
Iowa
(5/25/2021)
RR
Kentucky
(1/5/2024)
RR
Louisiana
(1/4/2025)
RR
Massachusetts
(1/5/2024)
RR
Michigan
(2/18/2021)
RR
Missouri
(1/5/2024)
RR
Nebraska
(1/5/2024)
RR
New Jersey
(1/8/2026)
RR
New York
(1/5/2024)
RR
North Carolina
(1/5/2024)
RR
Ohio
(1/6/2024)
RR
Oregon
(1/4/2025)
RR
South Carolina
(1/5/2024)
RR
South Dakota
(1/5/2024)
RR
Tennessee
(5/25/2021)
RR
Texas
(5/25/2021)
IAR
Texas
(3/31/2025)
RR
Washington
(1/5/2024)
RR
West Virginia
(1/8/2026)
RR
Wisconsin
(2/18/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/12/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/18/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 7/14/1988
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555Lake Zurich, IL

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Contact information

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