James F. Pierotti

FLAGSHIP HARBOR ADVISORS

NORWELL, MA 02061

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CRD#: 4963159

Professional summary

James F Pierotti, who also goes by James Francis Pierotti, is a registered financial advisor currently at FLAGSHIP HARBOR ADVISORS, LLC located in Norwell, Massachusetts and LPL FINANCIAL LLC located in Norwell, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. James has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Francis Pierotti

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) 10/10/2014: Pinnacle - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - agent: LTC, disability, whole life, term. (2) 10/10/2014: Flagship Harbor Advisors, LLC - Registered Investment Advisor - DBA: (Hybrid) Flagship Harbor Advisors, LLC - Investment Related - At Reported Business Location(s) - 50% Time Spent - I provide investment advisory services through Flagship Harbor Advisors, an independent investment advisor firm. I started this business activity in November, 2014. I expect to spend approximately 50% of the time spent per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (3) 10/10/2014: No Business Name - Author - Not Investment Related - At Reported Business Location(s) - 0% Time Spent - author of two published history books (4) 10/10/2014: Flagship Harbor Advisors, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent. (5) 4/9/2018 - Mutual Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/21/2018 - 50 Hours Per Month/30 Hours During Securities Trading. 6. 08/23/2019 - North Easton Investment Services - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:09/01/2019 - 160 hrs/mo - 8 hrs during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

November 5, 2014 - Present

FLAGSHIP HARBOR ADVISORS, LLC

Office #1: 167 Washington Street, Norwell, MA 02061Office #2: 570 Washington Street, Whitman, MA 02382

RIA

CRD#: 155733

NORWELL, MA

Current

October 6, 2014 - Present

LPL FINANCIAL LLC

Office #1: 167 Washington St, Norwell, MA 02061Office #2: 570 Washington St, Whitman, MA 02382

RIA

CRD#: 6413

Norwell, MA

Past

July 20, 2009 - October 8, 2014

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

BRIDGEWATER, MA

Past

July 9, 2009 - October 8, 2014

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

BRIDGEWATER, MA

Past

June 1, 2009 - July 8, 2009

MORGAN STANLEY

RIA

CRD#: 149777

NORWELL, MA

Past

June 1, 2009 - July 8, 2009

MORGAN STANLEY

CRD#: 149777

NORWELL, MA

Past

June 12, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NORWELL, MA

Past

June 12, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NORWELL, MA

Past

September 2, 2005 - May 21, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

QUINCY, MA

Past

August 12, 2005 - May 21, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

QUINCY, MA

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".

FLAGSHIP HARBOR ADVISORS, LLC

CRD#: 155733 / SEC#: 801-71997

RIA

Registered Investment Advisory firm - (12/8/2010 Approved)

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.

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

Connecticut
(9/7/2016)

Florida
(10/6/2014)

Georgia
(10/6/2014)

Maine
(6/27/2022)

Massachusetts
(10/6/2014)

IAR

Massachusetts
(11/5/2014)

New York
(2/4/2021)

Pennsylvania
(1/6/2021)

South Carolina
(10/11/2024)

Tennessee
(10/6/2014)

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

State Security Law Exam

IAR

Series 66

Date: 9/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/10/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/10/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/7/2009

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/2/2009

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FLAGSHIP HARBOR ADVISORS, LLC

CRD#: 155733 / SEC#: 801-71997

RIA

Registered Investment Advisory firm - (12/8/2010 Approved)

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Contact information

Main Address

346 Commercial Street, Boston, MA 02109

Mailing Address

Phone number

(857) 350-4229

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FLAGSHIP HARBOR ADVISORS, LLC DISCLOSURE BROCHURE (1/29/2025)

FLAGSHIP HARBOR ADVISORS, LLC WRAP FEE BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	13,382
AUM (Assets Under Management)	$ 3,008,478,711

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James F. Pierotti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FLAGSHIP HARBOR ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2005

SIE

Date: 10/1/2018

Series 31

Date: 1/10/2008

Series 7

Date: 8/10/2005

Series 10

Date: 5/7/2009

Series 9

Date: 4/2/2009

FINRA

Current Firm

FLAGSHIP HARBOR ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLAGSHIP HARBOR ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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