James F. Venditti

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CRD#: 3251238

Professional summary

James Frederick Venditti was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James Frederick Venditti, who also goes by James F Venditti, Jim Venditti, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 12 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James F Venditti | Jim Venditti

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 24, 2015 - June 8, 2016

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

NORWICH, CT

Past

August 24, 2015 - June 8, 2016

OSAIC INSTITUTIONS, INC.

CRD#: 35371

NORWICH, CT

Past

March 24, 2014 - August 27, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANCHESTER, CT

Past

March 24, 2014 - August 27, 2015

LPL FINANCIAL LLC

CRD#: 6413

MANCHESTER, CT

Past

June 1, 2012 - March 24, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

MIDDLETOWN, CT

Past

June 1, 2012 - March 24, 2014

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

MIDDLETOWN, CT

Past

October 23, 2007 - June 21, 2012

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

MIDDLETOWN, CT

Past

October 23, 2007 - June 21, 2012

CITIZENS SECURITIES, INC.

CRD#: 39550

MIDDLETOWN, CT

Past

May 17, 2007 - October 23, 2007

IFMG SECURITIES, INC.

RIA

CRD#: 14416

WEST HARTFORD, CT

Past

May 16, 2007 - October 23, 2007

IFMG SECURITIES, INC.

CRD#: 14416

WEST HARTFORD, CT

Past

April 12, 2007 - May 17, 2007

CONNECTICUT INVESTMENT MANAGEMENT INC

RIA

CRD#: 110462

DAYVILLE, CT

Past

March 26, 2007 - April 5, 2007

NEWALLIANCE INVESTMENTS, INC.

RIA

CRD#: 126880

DAYVILLE, CT

Past

March 26, 2007 - May 7, 2007

NEWALLIANCE INVESTMENTS, INC.

CRD#: 126880

DAYVILLE, CT

Past

July 14, 2006 - March 27, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHESTER, CT

Past

July 14, 2006 - March 27, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHESTER, CT

Past

December 8, 2003 - July 19, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HAMDEN, CT

Past

December 8, 2003 - July 19, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

HAMDEN, CT

Past

December 4, 2002 - December 12, 2003

QUICK & REILLY, INC.

RIA

CRD#: 11217

MANCHESTER, CT

Past

March 7, 2002 - December 12, 2003

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 26, 2001 - April 11, 2002

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

August 14, 1999 - November 2, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/2/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/8/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/10/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2002

General Securities Principal Examination

Current Firm

OSAIC INSTITUTIONS, INC.

CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.

CRD#: 35371 / SEC#: 801-67242, 8-46661

RIA

Registered Investment Advisory firm - SEC (11/2/2006 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Maine

Registered Investment Advisory firm - SEC (12/7/2006 Terminated)

Massachusetts

Registered Investment Advisory firm - SEC (3/23/2007 Terminated)

New Hampshire

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Ohio

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (11/22/2006 Terminated)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

538 Preston Avenue, Meriden, CT 06450-4858

Mailing Address

538 Preston Avenue, Meriden, CT 06450-4858

Phone number

(203) 599-6000

Established

Connecticut since 04/07/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

630

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/31/2025)

ADV WRAP APPENDIX - AMP (3/31/2025)

ADV WRAP APPENDIX - ADVISOR MANAGED (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - WEALTHSELECT (LEGACY USE ONLY) (3/31/2025)

ADV WRAP APPENDIX - UMA (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC INSTITUTIONS HOLDINGS, INC.	HOLDING COMPANY
AMARANTE, STEPHEN PAUL	PRESIDENT, CEO AND DIRECTOR	3165067
CORNICK, GREGORY ALLEN	DIRECTOR	3132991
HAMMOND, DORI JAMILLE	CHIEF COMPLIANCE OFFICER	3259012
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS	2627931

Regulatory assets under management

Total Number of Accounts	8,779
AUM (Assets Under Management)	$ 4,024,448,971

Disclosures

Regulatory Event

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 F. Venditti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC INSTITUTIONS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

IFMG SECURITIES, INC.

IFMG SECURITIES, INC.

CONNECTICUT INVESTMENT MANAGEMENT INC

NEWALLIANCE INVESTMENTS, INC.

NEWALLIANCE INVESTMENTS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

QUICK & REILLY, INC.

QUICK & REILLY, INC.

MML DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

OSAIC INSTITUTIONS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/1999

SIE

Date: 6/8/2016

Series 7

Date: 8/10/1999

Series 24

Date: 7/31/2002

Current Firm

OSAIC INSTITUTIONS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

OSAIC INSTITUTIONS, INC.

TRUST BUT VERIFY

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