James C. Scanlon

RISKBRIDGE ADVISORS

Norwalk, CT 06851

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CRD#: 2839221

Professional summary

James Christopher Scanlon, who also goes by Jim Scanlon, is a registered financial advisor currently at RISKBRIDGE ADVISORS, LLC located in Norwalk, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 7 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

Jim Scanlon

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.

RX2Live / non investment related / 121 Pond Street Hopkington MA./ Investor in medical products and service franchise and also offering administrative support when asked by wife who runs day to day operations./ start date is January 1, 2019 / 0 hours during business hours/ 2-3 hour per week during non business hours/ Passive owner

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Scanlon'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

September 9, 2024 - Present

RISKBRIDGE ADVISORS, LLC

Office #1: 401 Merritt 7 Ph, Norwalk, CT 06851

RIA

CRD#: 310396

Norwalk, CT

Past

September 22, 2020 - August 21, 2024

LEAR INVESTMENT MANAGEMENT

RIA

CRD#: 174119

HOPKINTON, MA

Past

April 29, 2011 - January 30, 2019

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

May 30, 2006 - April 12, 2019

GAMCO ASSET MANAGEMENT INC.

RIA

CRD#: 104950

RYE, NY

Past

May 30, 2006 - February 20, 2013

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

May 26, 2004 - May 4, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOSTON, MA

Past

May 11, 2004 - May 4, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 7, 1997 - October 15, 2001

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

RISKBRIDGE ADVISORS, LLC

FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE

CRD#: 310396 / SEC#: 801-119715

RIA

Registered Investment Advisory firm - (10/30/2020 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

Connecticut
(9/9/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/10/1999

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: 9/9/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/6/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/26/2007

General Securities Principal Examination

Current Firm

RISKBRIDGE ADVISORS, LLC

FINLEY DAVIS PRIVATE WEALTH | RISKBRIDGE PRIVATE WEALTH | RISKBRIDGE ADVISORS, LLC | RISKBRIDGE

CRD#: 310396 / SEC#: 801-119715

RIA

Registered Investment Advisory firm - (10/30/2020 Approved)

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Contact information

Main Address

401 Merritt 7 Ph, Norwalk, CT 06851

Mailing Address

Phone number

(203) 658-6055

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (MARCH 2025) (3/31/2025)

Regulatory assets under management

Total Number of Accounts	205
AUM (Assets Under Management)	$ 833,821,631

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 C. Scanlon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Scanlon's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEAR INVESTMENT MANAGEMENT

G.DISTRIBUTORS, LLC

GAMCO ASSET MANAGEMENT INC.

G.RESEARCH, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

RISKBRIDGE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/2004

Series 63

Date: 5/10/1999

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2003

Series 6

Date: 2/6/1997

Series 24

Date: 12/26/2007

Current Firm

RISKBRIDGE ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RISKBRIDGE ADVISORS, LLC

TRUST BUT VERIFY

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