James H. Elliot

ELCO MANAGEMENT COMPANY

New York, NY 10017

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CRD#: 2284949

Professional summary

James Howard Elliot is a registered financial advisor currently at ELCO MANAGEMENT COMPANY, LLC located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 5 firms and has passed the Series 63, SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Howard Elliot'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®

None

Experience

Current

November 29, 2021 - Present

ELCO MANAGEMENT COMPANY, LLC

Office #1: 369 Lexington Avenue 3rd Floor, New York, NY 10017

RIA

CRD#: 137036

New York, NY

Past

January 20, 2004 - March 31, 2016

BURNHAM SECURITIES INC.

CRD#: 22549

NEW YORK, NY

Past

October 17, 2002 - January 20, 2004

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

October 16, 2000 - October 3, 2002

DOMINICK & DICKERMAN LLC

CRD#: 7344

OLD GREENWICH, CT

Past

July 1, 1998 - October 2, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

November 19, 1992 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

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".

ELCO MANAGEMENT COMPANY, LLC

ELCO MANAGEMENT CO., LLC | ELCO PARTNERS, LLC (RELYING ADVISER) | ELCO MANAGEMENT COMPANY, LLC

CRD#: 137036 / SEC#: 801-64940

RIA

Registered Investment Advisory firm - (12/8/2005 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.

Highlighted states indicate IAR registrations

IAR

California
(10/9/2023)

IAR

Connecticut
(10/9/2023)

IAR

Florida
(1/10/2025)

IAR

Louisiana
(4/22/2025)

IAR

New Jersey
(10/17/2023)

IAR

New York
(12/8/2021)

IAR

Pennsylvania
(10/9/2023)

IAR

Texas
(11/29/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 1/18/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1992

General Securities Representative Examination

Current Firm

ELCO MANAGEMENT COMPANY, LLC

ELCO MANAGEMENT CO., LLC | ELCO PARTNERS, LLC (RELYING ADVISER) | ELCO MANAGEMENT COMPANY, LLC

CRD#: 137036 / SEC#: 801-64940

RIA

Registered Investment Advisory firm - (12/8/2005 Approved)

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Contact information

Main Address

369 Lexington Avenue 3rd Floor, New York, NY 10017

Mailing Address

Phone number

(212) 603-7582

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (3/18/2025)

FORM ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	377
AUM (Assets Under Management)	$ 252,164,808

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 H. Elliot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Howard Elliot's CRS (Customer Relationship Summary).

Certified licenses

Experience

BURNHAM SECURITIES INC.

DOMINICK & DICKERMAN LLC

DOMINICK & DICKERMAN LLC

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

Primary Firm SEC Registration

ELCO MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/1993

SIE

Date: 3/31/2016

Series 7

Date: 11/18/1992

Current Firm

ELCO MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELCO MANAGEMENT COMPANY, LLC

TRUST BUT VERIFY

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