James M. Nestor
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Michael Nestor, AIF®, who also goes by James Micheal Nestor, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 87, Series 7, Series 14, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 2011 - October 3, 2025
SENTINEL PENSION ADVISORS, LLC.
January 24, 2011 - October 3, 2025
SENTINEL SECURITIES, LLC.
June 8, 2009 - January 31, 2011
LINCOLN INVESTMENT
September 11, 2003 - March 13, 2009
INVESTORS CAPITAL CORP.
August 16, 2002 - June 27, 2003
SCUDDER FINANCIAL SERVICES, INC.
April 6, 2000 - July 28, 2003
DWS DISTRIBUTORS, INC.
March 20, 2000 - July 28, 2003
DEAM INVESTOR SERVICES, INC.
May 27, 1998 - April 26, 2000
NEW ENGLAND SECURITIES
May 1, 1997 - May 13, 1998
OSAIC FS, INC.
November 21, 1995 - April 2, 1997
H.J. MEYERS & CO., INC.
August 25, 1995 - November 2, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
August 7, 1995 - August 25, 1995
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
SENTINEL PENSION ADVISORS, LLC.
CRD#: 109901 / SEC#: 801-55783
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SENTINEL PENSION ADVISORS, LLC.
CRD#: 109901 / SEC#: 801-55783
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,113 |
| AUM (Assets Under Management) | $ 10,730,228,384 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 09/23/2024 | ||
| 10/23/2023 |
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.
