James C. Landry

PALLAS CAPITAL ADVISORS

Braintree, MA 02184

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CRD#: 2918964

Professional summary

James Christopher Landry is a registered financial advisor currently at PALLAS CAPITAL ADVISORS, LLC located in Braintree, Massachusetts and PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) James Landry is dually-registered as an Investment Advisor Representative with Pallas Capital Advisors LLC ("Pallas" - since 11/2020) and as a Registered Representative with Purshe Kaplan Sterling Investments, Inc. ("PKS" - since 08/2023). Business is conducted from 45 Braintree Hill Office Park, Suite 201, Braintree, MA 02184. Approximately 90% of Mr. Landry's time is for services under Pallas and the balance as a Registered Representative of PKS. 2) Fixed life insurance and annuities; not investment-related; 45 Braintree Hill Office Park, Braintree, MA 02184; individual life insurance and retirement planning; agent;7/2019;5 hrs/month;.5 hrs during trading; sell insurance/annuity products to help clients meet objectives.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Landry'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

November 16, 2020 - Present

PALLAS CAPITAL ADVISORS, LLC

Office #1: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

RIA

CRD#: 310327

Braintree, MA

Current

August 24, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 80 State Street, Albany, NY 12207Office #2: 45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

CRD#: 35747

ALBANY, NY

Past

July 26, 2019 - December 1, 2020

NEWEDGE ADVISORS

RIA

CRD#: 171351

BRAINTREE, MA

Past

July 26, 2019 - May 23, 2023

TRIAD ADVISORS LLC

CRD#: 25803

Braintree, MA

Past

June 27, 2002 - July 31, 2019

OSAIC FA, INC.

RIA

CRD#: 3978

BOSTON, MA

Past

September 21, 2001 - June 12, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 21, 2001 - July 31, 2019

OSAIC FA, INC.

CRD#: 3978

BOSTON, MA

Past

November 4, 1998 - August 23, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

December 24, 1997 - July 14, 1998

SECURE PLANNING, LLC

CRD#: 42179

PORTSMOUTH, NH

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".

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 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.

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

California
(9/27/2024)

Connecticut
(9/28/2023)

Florida
(9/27/2024)

IAR

Massachusetts
(11/16/2020)

Massachusetts
(8/24/2023)

New Hampshire
(8/24/2023)

New York
(9/27/2024)

South Carolina
(8/24/2023)

Virginia
(1/18/2024)

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

State Security Law Exam

IAR

Series 66

Date: 3/19/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1998

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: 3/4/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/23/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/1/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/16/1998

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

CRD#: 310327 / SEC#: 801-119646

RIA

Registered Investment Advisory firm - (11/12/2020 Approved)

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Contact information

Main Address

45 Braintree Hill Office Park Suite 201, Braintree, MA 02184

Mailing Address

Phone number

(781) 971-5052

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PALLAS DISCLOSURE BROCHURE (9/8/2025)

Regulatory assets under management

Total Number of Accounts	3,780
AUM (Assets Under Management)	$ 3,195,166,308

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. Landry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

NEWEDGE ADVISORS

TRIAD ADVISORS LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

WS GRIFFITH SECURITIES, INC.

SECURE PLANNING, LLC

Primary Firm SEC Registration

PALLAS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2002

Series 65

Date: 5/11/1999

Series 63

Date: 1/12/1998

SIE

Date: 10/1/2018

Series 7

Date: 3/4/1999

Series 6

Date: 12/23/1997

Series 24

Date: 4/1/1999

Series 26

Date: 3/16/1998

FINRA

Current Firm

PALLAS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PALLAS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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