James T. Caulfield

SHAMROCK FINANCIAL SERVICES

Woodcliff Lake, NJ 07677

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CRD#: 2364632

Professional summary

James Thomas Caulfield, who also goes by James Caulfield, Seamus Thomas Caulfield, Seamus Caulfield, is a registered financial advisor currently at SHAMROCK FINANCIAL SERVICES located in Woodcliff Lake, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Caulfield | Seamus Thomas Caulfield | Seamus Caulfield

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) INSURANCE AGENT - 11/2001 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE OFFERING INSURANCE PRODUCTS AND SERVICES TO CLIENTS AND PROSPECTS. APPROXIMATELY 50% OF TIME DEVOTED TO THIS ACTIVITY, DURING SECURITIES TRADING HOURS. 50 TICE BLVD., STE. 340, WOODCLIFF LAKE, NJ 07677.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Caulfield'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®

None

Experience

Current

June 23, 2020 - Present

SHAMROCK FINANCIAL SERVICES

Office #1: 50 Tice Blvd Suite 280, Woodcliff Lake, NJ 07677

RIA

CRD#: 151857

Woodcliff Lake, NJ

Past

October 29, 2012 - December 31, 2019

SHAMROCK FINANCIAL SERVICES

RIA

CRD#: 151857

WOODCLIFF LAKE, NJ

Past

November 5, 2011 - August 20, 2019

TAYLOR CAPITAL MANAGEMENT INC.

CRD#: 43559

Woodcliff Lake, NJ

Past

November 12, 2009 - August 22, 2011

SHAMROCK FINANCIAL SERVICES

RIA

CRD#: 151857

CARLSBAD, CA

Past

December 10, 2007 - October 30, 2009

BROKERSXPRESS LLC

RIA

CRD#: 127081

CARLSBAD, CA

Past

December 7, 2007 - October 30, 2009

BROKERSXPRESS LLC

CRD#: 127081

CARLSBAD, CA

Past

January 19, 2007 - December 6, 2007

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

CARLSBAD, CA

Past

January 19, 2007 - December 6, 2007

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

CARLSBAD, CA

Past

March 11, 2002 - January 30, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

CARLSBAD, CA

Past

February 20, 2002 - January 30, 2007

LPL FINANCIAL LLC

CRD#: 6413

CARLSBAD, CA

Past

November 16, 1999 - January 8, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 10, 1998 - November 24, 1999

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 27, 1994 - July 27, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 31, 1993 - June 17, 1994

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 8, 1993 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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

New Jersey
(6/23/2020)

IAR

New York
(7/26/2021)

IAR

North Carolina
(6/11/2025)

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

IAR

Series 65

Date: 7/30/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1993

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: 7/6/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/21/2002

General Securities Principal Examination

Current Firm

SHAMROCK FINANCIAL SERVICES

CRD#: 151857 / SEC#:

New Jersey

Registered Investment Advisory firm - (6/23/2020 Approved)

New York

Registered Investment Advisory firm - (7/26/2021 Approved)

North Carolina

Registered Investment Advisory firm - (5/12/2025 Approved)

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Contact information

Main Address

50 Tice Blvd, Suite 340, Woodcliff Lake, NJ 07677

Mailing Address

Phone number

(201) 250-1148

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	197
AUM (Assets Under Management)	$ 18,750,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Withdrawn	4/26/2012

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 T. Caulfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Caulfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHAMROCK FINANCIAL SERVICES

TAYLOR CAPITAL MANAGEMENT INC.

SHAMROCK FINANCIAL SERVICES

BROKERSXPRESS LLC

BROKERSXPRESS LLC

MADISON AVENUE ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/30/1993

Series 63

Date: 7/27/1993

SIE

Date: 10/1/2018

Series 7

Date: 7/6/1993

Series 24

Date: 5/21/2002

Current Firm

SHAMROCK FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

SHAMROCK FINANCIAL SERVICES

TRUST BUT VERIFY

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