James P. Panos

PANOS FINANCIAL PARTNERS

Boston, MA 02114

Some features on this profile are disabled

CRD#: 4135718

Professional summary

James Patrick Panos is a registered financial advisor currently at PANOS FINANCIAL PARTNERS, LLC located in Boston, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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) PANOS FINANCIAL PARTNERS. OWNER. RIA, INVESTMENTS, PORTFOLIO MANAGEMENT, RETIREMENT PLANNING. BOSTON, MA. PERFORM FINANCIAL ADVISORY SALES AND SERVICE. START DATE 8/2011. 2) PAYCHEX. BOSTON, MA. AID IN THE IMPLEMENTATION OF EMPLOYEE SELF DIRECTED 401K'S THROUGH PAYCHEX. INVESTMENT RELATED. 6-10 HOURS DURING BUSINESS HOURS. START DATE 01/2005. 3) LIFE INSURANCE SALES AND SERVICE. 4) LYONESS AMERICA. NON INVESTMENT RELATED. CUSTOMER CASHBACK CARD AND LOYALTY DEBIT CARD FOR MERCHANTS. SALES. 6-10 HOURS PER MONTH DURING BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Panos's 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

August 16, 2011 - Present

PANOS FINANCIAL PARTNERS, LLC

Office #1: 121 Portland Street Unit 1004, Boston, MA 02114

RIA

CRD#: 158080

Boston, MA

Past

August 16, 2011 - December 31, 2015

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

BOSTON, MA

Past

June 30, 2009 - September 14, 2011

WESTMINSTER FINANCIAL ADVISORY CORP

RIA

CRD#: 110283

BEAVERCREEK, OH

Past

June 12, 2009 - September 14, 2011

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BOSTON, MA

Past

June 25, 2007 - June 16, 2009

MOORS & CABOT, INC.

RIA

CRD#: 594

BOSTON, MA

Past

September 25, 2006 - June 25, 2007

MOORS & CABOT INC

RIA

CRD#: 110869

BOSTON, MA

Past

May 25, 2004 - June 16, 2009

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

March 17, 2000 - June 15, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(8/16/2011)

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: 12/28/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/31/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/16/2000

General Securities Representative Examination

Current Firm

PANOS FINANCIAL PARTNERS, LLC

BOSTON INVESTMENT ADVISORS, LLC | PANOS FINANCIAL PARTNERS, LLC | PANOS FINANCIAL PARTNERS

CRD#: 158080 / SEC#:

Massachusetts

Registered Investment Advisory firm - (8/16/2011 Approved)

New Jersey

Registered Investment Advisory firm - (12/24/2024 Terminated)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

121 Portland Street Unit 1004, Boston, MA 02114

Mailing Address

Phone number

(617) 834-3259

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	133
AUM (Assets Under Management)	$ 35,000,000

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.

Similar Advisors

Martin Robbins

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Norwell, MA

Tamara Rose

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BOSTON, MA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James P. Panos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Panos's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCORDE INVESTMENT SERVICES, LLC

WESTMINSTER FINANCIAL ADVISORY CORP

WESTMINSTER FINANCIAL SECURITIES, INC.

MOORS & CABOT, INC.

MOORS & CABOT INC

MOORS & CABOT, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/2006

Series 63

Date: 3/31/2000

SIE

Date: 12/31/2015

Series 7

Date: 3/16/2000

Current Firm

PANOS FINANCIAL PARTNERS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PANOS FINANCIAL PARTNERS, LLC

TRUST BUT VERIFY

Similar Advisors