James C. Brandon

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CRD#: 4021648

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 C Brandon, who also goes by James Christopher Brandon, James Brandon, J C Foti, James C Foti, John Christopher Foti, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 9 firms and has passed the Series 65, Series 66, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Christopher Brandon | James Brandon | J C Foti | James C Foti | John Christopher Foti

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.

Taxfyle, some part-time 1099 contractor work (tax preparation) less than 100 hours of total work from 1/1/2022 through 4/18/2023. Taxfyle 2901 Florida Ave, Coconut Grove, FL 33133 phone 888-803-4458- Not investment related, tax preparation firm.

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

May 11, 2023 - February 12, 2025

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

Irvine, CA

Past

May 8, 2009 - May 3, 2010

WADDELL & REED

RIA

CRD#: 866

CONCORD, CA

Past

May 7, 2009 - May 3, 2010

WADDELL & REED

CRD#: 866

CONCORD, CA

Past

February 21, 2007 - November 30, 2007

SCF SECURITIES, INC.

CRD#: 47275

SAN DIEGO, CA

Past

August 28, 2002 - February 7, 2003

WORLDCO, L.L.C.

CRD#: 24673

NEW YORK, NY

Past

September 26, 2001 - August 12, 2002

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

LAFAYETTE, CA

Past

July 6, 2001 - August 12, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 6, 2001 - August 12, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

February 15, 2000 - June 14, 2001

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

October 6, 1999 - December 13, 1999

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 6, 1999 - December 13, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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 65

Date: 5/11/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/5/2007

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/2007

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 9/4/2002

Limited Representative-Equity Trader Exam

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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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James C. Brandon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

SCF SECURITIES, INC.

WORLDCO, L.L.C.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

SECURITIES AMERICA, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/11/2023

Series 66

Date: 3/5/2007

Series 7

Date: 2/20/2007

Series 55

Date: 9/4/2002

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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