James S. Luizzi

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CRD#: 4130014

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 Scott Luizzi was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2000. James had worked at 8 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

March 20, 2006 - August 13, 2014

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

February 16, 2006 - August 13, 2014

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

SHELTON, CT

Past

August 28, 2003 - March 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

DANBURY, CT

Past

August 28, 2003 - March 16, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

November 7, 2002 - June 20, 2003

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

NORWALK, CT

Past

September 9, 2002 - June 20, 2003

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 2, 2001 - December 31, 2002

GE INVESTMENT DISTRIBUTORS, INC

CRD#: 32087

STAMFORD, CT

Past

May 24, 2000 - January 19, 2001

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 24, 2000 - January 19, 2001

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".

AST INVESTMENT SERVICES, INC.

AMERICAN SKANDIA INVESTMENT SERVICES, INC. | AST INVESTMENT SERVICES, INC.

CRD#: 108897 / SEC#: 801-40532

RIA

Registered Investment Advisory firm - (1/10/1992 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 66

Date: 6/13/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/23/2000

General Securities Representative Examination

Current Firm

AST INVESTMENT SERVICES, INC.

AMERICAN SKANDIA INVESTMENT SERVICES, INC. | AST INVESTMENT SERVICES, INC.

CRD#: 108897 / SEC#: 801-40532

RIA

Registered Investment Advisory firm - (1/10/1992 Approved)

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Contact information

Main Address

One Corporate Drive, Shelton, CT 06484

Mailing Address

Phone number

(973) 802-9908

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 93,541,799,206

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 S. Luizzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

CETERA INVESTMENT ADVISERS LLC

CAPITAL BROKERAGE CORPORATION

GE INVESTMENT DISTRIBUTORS, INC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

AST INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/13/2000

Series 7

Date: 5/23/2000

Current Firm

AST INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

AST INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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