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JT

James C. Treat

CRD#: 4846510
Some features on this profile are disabled
JT
James Christopher Treat

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 Christopher Treat, who also goes by Chris Treat, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Treat

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

October 14, 2025 - June 1, 2026

WRIGHT INVESTORS SERVICE INC

RIA
CRD#: 106302
Batesville, AR
Past

November 29, 2017 - April 16, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
Batesville, AR
Past

July 27, 2016 - November 29, 2017

INVESTMENT CENTERS OF AMERICA, INC.

BD
CRD#: 16443
Batesville, AR
Past

February 8, 2010 - November 10, 2011

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

February 4, 2010 - November 10, 2011

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
SAN ANTONIO, TX
Past

June 29, 2005 - March 3, 2008

WADDELL & REED

RIA
CRD#: 866
SPRINGFIELD, MO
Past

October 4, 2004 - March 3, 2008

WADDELL & REED

BD
CRD#: 866
SPRINGFIELD, MO

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".
WI
WRIGHT INVESTORS SERVICE INC
WRIGHT INVESTORS SERVICE INC

CRD#: 106302 / SEC#: 801-51257

RIA
Registered Investment Advisory firm - (2/23/1996 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/31/2025
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/28/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/16/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/1/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WI
WRIGHT INVESTORS SERVICE INC
WRIGHT INVESTORS SERVICE INC

CRD#: 106302 / SEC#: 801-51257

RIA
Registered Investment Advisory firm - (2/23/1996 Approved)
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Contact information

Main Address
2 Corporate Drive Suite 770, Shelton, CT 06484
Mailing Address
Phone number
(203) 783-4400
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

03 17 25 WIS ADV PART 2A (3/17/2025)

Regulatory assets under management

Total Number of Accounts1,286
AUM (Assets Under Management)$ 1,237,999,777

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.

Company Information

WRIGHT INVESTORS SERVICE INC

CRD#: 106302

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