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JT

James Tetreault

LPL ENTERPRISE

ATTLEBORO, MA

·CRD# 4255306·26 years experience

About James

Disclosures

Contact

Videos & Posts

Professional Background

Firm Detail

Other Business Activities

More

Professional Summary

James 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James J Tetreault, James Joseph Tetreault, Jay Tetreault

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

26 years in the financial services industry

Current & Past Employments

Current

LPL ENTERPRISE, LLCCurrent·CRD# 8733

RIA

BD

Attleboro, MA

November 28, 2024 - Present

LPL ENTERPRISE, LLCCurrent·CRD# 8733

RIA

BD

Attleboro, MA

September 30, 2024 - Present

Past

LPL FINANCIAL LLCPast·CRD# 6413

RIA

Attleboro, MA

January 17, 2018 - October 11, 2024

LPL FINANCIAL LLCPast·CRD# 6413

BD

Fort Mill, SC

January 8, 2018 - October 11, 2024

SIGNATOR INVESTORS, INC.Past·CRD# 468

RIA

Boston, MA

January 3, 2008 - November 22, 2017

SIGNATOR INVESTORS, INC.Past·CRD# 468

BD

Boston, MA

February 8, 2005 - November 22, 2017

SIGNATOR FINANCIAL SERVICES, INC.Past·CRD# 19061

BD

Boston, MA

May 14, 2014 - December 28, 2015

QUICK & REILLY, INC.Past·CRD# 11217

BD

New York, NY

May 2, 2002 - November 26, 2003

FORESIDE FUNDS DISTRIBUTORS LLCPast·CRD# 31334

BD

Portland, ME

October 16, 2000 - May 20, 2002

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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)

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).

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

5,215

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

A58 LPLE (10/8/2026)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER	—
EVANGELIOU, KIRIAKOS ANDREAS	SVP, CHIEF COMPLIANCE OFFICER	2496177
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742

Regulatory Assets Under Management

Total Number of Accounts

139,192

AUM (Assets Under Management)

$24,939,385,373

Disclosures

Regulatory Event

3

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2026	Cover Page	Report
06/25/2025	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

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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)

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.

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

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)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2002About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Oct 2000About the Series 6 exam

Series 51 — Municipal Fund Securities Principal Examination

Passed Apr 2008About the Series 51 exam

Series 24 — General Securities Principal Examination

Passed Dec 2006About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

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

CRS (Customer Relationship Summary)

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