James Michael Carnevale
AIF®, CFP®Professional Summary
James Michael Carnevale, AIF®, CFP®, who also goes by Jim Carnevale, is a registered financial advisor currently at SENTINEL PENSION ADVISORS, LLC. located in Wakefield, Massachusetts and SENTINEL SECURITIES, LLC. located in Wakefield, Massachusetts. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Insurance Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Estate Planning
- Investment Planning
- Retirement Planning
Other Aliases
Jim Carnevale
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
30 years in the financial services industry
Current & Past Employments
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP
Contact Information
Main Address
100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880Phone Number
(781) 914-1361# of Employees
53SEC notice filing (46 States and Territories)
Registered to provide investment advisory services in 46 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,033AUM (Assets Under Management)
$11,941,931,134Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/23/2026 | Cover Page | Report |
| 11/25/2025 | Cover Page | Report |
| 09/23/2024 | Cover Page | Report |
| 10/23/2023 | Cover Page | Report |
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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.
Similar Advisors
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Primary Firm SEC Registration
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP
State Registrations and Notice Filings
(1/15/2002)
(1/3/2012)
(6/11/2007)
(11/1/2013)
(1/3/2012)
(8/16/2001)
(7/25/2002)
(1/3/2012)
(4/8/2004)
(10/20/2021)
(1/3/2012)
(3/13/2002)
(1/9/2017)
(2/28/2012)
(6/7/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Sep 2025About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1996About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Michael Carnevale's CRS (Customer Relationship Summary).
Services Offered by James
- Insurance Planning
- Comprehensive Financial Planning
- Employee and Employer Plan Benefits
- Estate Planning
- Investment Planning
- Retirement Planning
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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