JS
James A. Sia
LOOMIS SAYLES DISTRIBUTORS, L.P.
Boston, MA 02111
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CRD#: 1953763
JS
Professional summary
James Andrew Sia, who also goes by Jim Sia, is a registered financial professional currently at LOOMIS SAYLES DISTRIBUTORS, L.P. located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Sia
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.
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Sia'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
October 13, 2017 - Present
LOOMIS SAYLES DISTRIBUTORS, L.P.
Office #1: One Financial Center, Boston, MA 02111BD
CRD#: 41795
Boston, MA
Past
October 11, 2016 - September 7, 2017
STANDARD LIFE INVESTMENTS SECURITIES LLC
BD
CRD#: 157233
BOSTON, MA
Past
February 23, 2012 - July 6, 2016
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
BERKELEY, CA
Past
September 25, 2001 - November 7, 2002
WELLINGTON SALES CORP.
BD
CRD#: 7144
BOSTON, MA
Past
May 28, 1998 - July 23, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 14, 1994 - January 26, 1998
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
June 5, 1989 - June 28, 1994
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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(10/13/2017)
RR
Alaska(10/13/2017)
RR
Arizona(10/13/2017)
RR
Arkansas(10/13/2017)
RR
California(10/13/2017)
RR
Colorado(10/13/2017)
RR
Connecticut(10/13/2017)
RR
Delaware(10/13/2017)
RR
District of Columbia(10/13/2017)
RR
Florida(10/13/2017)
RR
Georgia(10/13/2017)
RR
Hawaii(10/13/2017)
RR
Idaho(10/13/2017)
RR
Illinois(10/13/2017)
RR
Indiana(10/13/2017)
RR
Iowa(10/13/2017)
RR
Kansas(10/13/2017)
RR
Kentucky(10/13/2017)
RR
Louisiana(10/13/2017)
RR
Maine(10/13/2017)
RR
Maryland(10/13/2017)
RR
Massachusetts(10/13/2017)
RR
Michigan(10/13/2017)
RR
Minnesota(10/13/2017)
RR
Mississippi(10/13/2017)
RR
Missouri(10/13/2017)
RR
Montana(10/13/2017)
RR
Nebraska(10/13/2017)
RR
Nevada(10/13/2017)
RR
New Hampshire(10/13/2017)
RR
New Jersey(10/13/2017)
RR
New Mexico(10/13/2017)
RR
New York(10/13/2017)
RR
North Carolina(10/13/2017)
RR
North Dakota(10/13/2017)
RR
Ohio(10/13/2017)
RR
Oklahoma(10/13/2017)
RR
Oregon(10/13/2017)
RR
Pennsylvania(10/13/2017)
RR
Puerto Rico(10/13/2017)
RR
Rhode Island(10/13/2017)
RR
South Carolina(10/13/2017)
RR
South Dakota(10/13/2017)
RR
Tennessee(7/19/2018)
RR
Texas(10/13/2017)
RR
Utah(10/13/2017)
RR
Vermont(10/13/2017)
RR
Virginia(10/13/2017)
RR
Washington(10/13/2017)
RR
West Virginia(10/13/2017)
RR
Wisconsin(10/13/2017)
RR
Wyoming(10/13/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LOOMIS SAYLES DISTRIBUTORS, L.P.
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795 / SEC#: , 8-49575
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Financial Center, Boston, MA 02111
Mailing Address
One Financial Center, Boston, MA 02111-2620
Phone number
(617) 482-2450
Established
Delaware since 07/25/1996
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOOMIS SAYLES & COMPANY, L.P. | LIMITED PARTNER OF REGISTRANT AND 100% OWNER OF GENERAL PARTNER | |
| KLOCEK, JOHN FRANCIS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6256015 |
| LEGER, MAURICE PAUL | PRESIDENT | 4575004 |
| LOOMIS SAYLES DISTRIBUTORS, INC. | SOLE GENERAL PARTNER | |
| MCCARTHY, MARY | VP, SECRETARY | |
| O'CONNOR, OLGA A. | VICE PRESIDENT, TREASURER, PRINCIPAL FINANCIAL OFFICER, FINANCIAL OPERATIONS PRINCIPAL | 7436902 |
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
LOOMIS SAYLES DISTRIBUTORS, L.P.
CRD#: 41795Boston, MA 02111TRUST BUT VERIFY
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