JT
James J. Tetreault
LPL ENTERPRISE
ATTLEBORO, MA
Some features on this profile are disabled
CRD#: 4255306
JT
Professional summary
James Joseph Tetreault, who also goes by James J Tetreault, James Joseph Tetreault, Jay Tetreault, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Attleboro, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James J Tetreault | James Joseph Tetreault | Jay Tetreault
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) 12/18/2024 - None - Real Estate Rental - This was submitted when hired 7 years ago. I have a rental property. Located at 567 Mendon rd Attleboro ma 02702 Im an LPL employee. This was disclosed years ago. Not sure what its not listed in here now. - INV Related - At Attleboro, MA - Start Date 01/01/1995 - 2hrs/mth - 0hrs During Trading
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Tetreault's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Tetreault'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®
NoneExperience
Current
November 28, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
ATTLEBORO, MA
Current
September 30, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
ATTLEBORO, MA
Past
January 17, 2018 - October 11, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ATTLEBORO, MA
Past
January 8, 2018 - October 11, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
May 14, 2014 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
January 3, 2008 - November 22, 2017
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BOSTON, MA
Past
February 8, 2005 - November 22, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
May 2, 2002 - November 26, 2003
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
October 16, 2000 - May 20, 2002
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/27/2024)
RR
Alaska(11/27/2024)
RR
Arizona(11/27/2024)
RR
Arkansas(11/27/2024)
RR
California(11/27/2024)
RR
Colorado(11/27/2024)
RR
Connecticut(11/27/2024)
RR
Delaware(11/27/2024)
RR
District of Columbia(11/27/2024)
RR
Florida(11/27/2024)
RR
Georgia(11/27/2024)
RR
Hawaii(11/27/2024)
RR
Idaho(11/27/2024)
RR
Illinois(11/27/2024)
RR
Indiana(11/27/2024)
RR
Iowa(11/27/2024)
RR
Kansas(11/27/2024)
RR
Kentucky(11/27/2024)
RR
Louisiana(11/27/2024)
RR
Maine(11/27/2024)
RR
Maryland(11/27/2024)
RR
Massachusetts(9/30/2024)
IAR
Massachusetts(3/3/2025)
RR
Michigan(11/27/2024)
RR
Minnesota(11/27/2024)
RR
Mississippi(11/27/2024)
RR
Missouri(11/27/2024)
RR
Montana(11/27/2024)
RR
Nebraska(11/27/2024)
RR
Nevada(11/27/2024)
RR
New Hampshire(11/27/2024)
RR
New Jersey(11/27/2024)
RR
New Mexico(11/27/2024)
RR
New York(11/27/2024)
RR
North Carolina(11/27/2024)
RR
North Dakota(11/27/2024)
RR
Ohio(11/29/2024)
RR
Oklahoma(11/27/2024)
RR
Oregon(11/27/2024)
RR
Pennsylvania(11/27/2024)
RR
Puerto Rico(12/16/2024)
RR
Rhode Island(11/27/2024)
RR
South Carolina(9/30/2024)
IAR
South Carolina(3/4/2025)
RR
South Dakota(11/27/2024)
RR
Tennessee(11/27/2024)
RR
Texas(11/27/2024)
IAR
Texas(11/28/2024)
RR
Utah(11/27/2024)
RR
Vermont(11/27/2024)
RR
Virgin Islands(12/16/2024)
RR
Virginia(11/27/2024)
RR
Washington(11/27/2024)
RR
West Virginia(11/27/2024)
RR
Wisconsin(11/27/2024)
RR
Wyoming(11/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
