James T. Celico

NORTH CAPITAL

Barrington, RI 02806

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CRD#: 2356996

Professional summary

James Theodore Celico, who also goes by James T Celico Sr, James T Celico, James T. Celico, Jim Celico, is a registered financial advisor currently at NORTH CAPITAL located in Barrington, Rhode Island and NORTH CAPITAL PRIVATE SECURITIES CORPORATION located in Salt Lake City, Utah.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James T Celico Sr | James T Celico | James T. Celico | Jim Celico

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.

(1) June 2016- Managing Member, New England Office Network LLC - Not Investment Related - located at 57 Maple Avenue, Barrington RI 02806. Real Estate Rental Prop Mgmt spending 3-5 hours a month, variable during trading hours providing administrative assistance and ops overnight. (2) July 2008, Managing Member, The RIA Network Group, LLC (including Alphacentric, which is a client of the RIA Network) - Non-Investment Related - located at 21 Central Avenue, Barrington RI 02806, consulting, spending 20-80 variable hours a month, on occasion during trading hours providing sales, consulting on strategy, communications, etc. (3) July 2007 - Managing Member of WH Charter Co, LLC located at 21 Central Avenue Barrington RI 02806. Real Estate Rentals spending 0-3 hours a month, rarely during trading hours provided some admin and maintenance coordination. (4) Adaptive Distribution Group LLC - This entity will act as a general contractor for one consulting client. Entity will hire 1099 sub contractors to provide services via such as tele marketing, business development, IT and marketing. 25 hours per week, not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Theodore Celico'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

May 1, 2023 - Present

NORTH CAPITAL

Office #1: 57 Maple Ave Suite 101a, Barrington, RI 02806

RIA

CRD#: 148802

Barrington, RI

Current

August 13, 2021 - Present

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

Office #1: 623 E Ft Union Blvd Suite 101, Salt Lake City, UT 84047

CRD#: 154559

Salt Lake City, UT

Past

March 19, 2021 - June 9, 2021

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

July 17, 2020 - January 7, 2021

FNEX CAPITAL, LLC

CRD#: 166316

INDIANAPOLIS, IN

Past

May 12, 2020 - September 7, 2021

TRANSPARENT INVESTMENT SOLUTIONS LLC

RIA

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(9/12/2021)

Rhode Island
(9/8/2021)

Utah
(8/16/2021)

IAR

Utah
(5/1/2023)

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: 5/21/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/2016

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: 4/2/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/27/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/30/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NORTH CAPITAL

CRD#: 148802 / SEC#: 801-110598

RIA

Registered Investment Advisory firm - (5/17/2017 Approved)

California

Registered Investment Advisory firm - (7/2/2017 Terminated)

Utah

Registered Investment Advisory firm - (6/2/2017 Terminated)

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Contact information

Main Address

623 E Fort Union Blvd. Suite 101, Salt Lake City, UT 84047

Mailing Address

Phone number

888-625-7768 X1

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/27/2025)

Regulatory assets under management

Total Number of Accounts	642
AUM (Assets Under Management)	$ 292,582,491

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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James T. Celico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Theodore Celico's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTH CAPITAL PRIVATE SECURITIES CORPORATION

AVALON SECURITIES, LTD.

FNEX CAPITAL, LLC

TRANSPARENT INVESTMENT SOLUTIONS LLC

MANORHAVEN CAPITAL LLC

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ENDATUM SECURITIES, INC.

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WOODBURY FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

NORTH CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2018

Series 63

Date: 8/29/2016

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2007

Series 6

Date: 5/27/1993

Series 24

Date: 4/30/2007

FINRA

Current Firm

NORTH CAPITAL

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTH CAPITAL

TRUST BUT VERIFY

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