James F. Lajoie
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 Francis Lajoie, who also goes by James F Lajoie II, James Frances Lajoie Ii, James Francis Lajoie Ii, Jim Lajoie Ii, Jim Lajoie, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 1 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 11, 2011 - May 18, 2016
PRINCIPAL SECURITIES, INC.
March 8, 2011 - May 18, 2016
PRINCIPAL SECURITIES, INC.
January 14, 2010 - February 25, 2011
MML INVESTORS SERVICES, LLC
January 14, 2010 - February 25, 2011
MML INVESTORS SERVICES, LLC
January 1, 2006 - August 18, 2009
VALIC FINANCIAL ADVISORS, INC.
September 2, 2005 - August 18, 2009
VALIC FINANCIAL ADVISORS, INC.
August 29, 2003 - December 31, 2004
MML INVESTORS SERVICES, LLC
August 16, 2000 - September 4, 2001
BNY MELLON SECURITIES LLC
March 31, 1999 - September 25, 2000
CETERA INVESTMENT SERVICES LLC
September 26, 1996 - March 9, 1998
METLIFE INVESTORS SALES COMPANY
October 1, 1994 - July 8, 1996
FISERV INVESTOR SERVICES, INC.
August 16, 1989 - September 12, 1994
FISCO EQUITY, INC.
June 9, 1989 - April 29, 1992
CROSSLAND INVESTOR SERVICES CORP.
September 21, 1988 - November 16, 1988
WILLIAM PENN SECURITIES CORP.
April 21, 1978 - March 22, 1988
PINEBRIDGE SECURITIES LLC
June 4, 1969 - May 23, 1976
BERKSHIRE EQUITY SALES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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 1
Date: 4/29/1969
Registered Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
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.
