JC
James C. Catacchio
BAY COLONY ADVISORS
Concord, MA 01742
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CRD#: 4966526
JC
Professional summary
James Clements Catacchio is a registered financial advisor currently at BAY COLONY ADVISORS located in Concord, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 6 firms and has passed the Series 66 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.
MR. CATACCHIO IS AN INSURANCE AGENT WITH VARIOUS INSURANCE COMPANIES. IN THIS SEPARATE CAPACITY, MR. CATACCHIO MAY RECOMMEND INSURANCE PRODUCTS (INCLUDING INSURANCE-BASED SECURITIES) AND RECEIVE NORMAL INSURANCE TRANSACTIONS COMMISSIONS IF PRODUCTS ARE PURCHASED THROUGH INSURANCE COMPANIES WITH WHICH HE IS AFFILIATED.
Town of Carlisle, MA - Finance Committee Member - Spends less than 5% of his time per month
CRS (Client Relationship Summary) - RIA
Click below to view James Clements Catacchio'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
January 28, 2010 - Present
BAY COLONY ADVISORS
Office #1: 86 Baker Avenue Extension Suite 310, Concord, MA 01742RIA
CRD#: 152583
Concord, MA
Past
December 17, 2010 - August 2, 2012
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
CONCORD, MA
Past
September 17, 2009 - October 14, 2010
TLG ADVISORS, INC.
RIA
CRD#: 111052
CONCORD, MA
Past
October 28, 2008 - December 31, 2010
THE LEADERS GROUP, INC.
BD
CRD#: 37157
CONCORD, MA
Past
March 12, 2008 - November 3, 2008
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
BOSTON, MA
Past
February 10, 2006 - September 25, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
WALTHAM, 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".
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)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(1/28/2010)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
BC
BAY COLONY ADVISORS
ALLEGIANCE FINANCIAL SERVICES INC. | WINDSOR WEALTH MANAGEMENT | TEWKS WEALTH MANAGEMENT, LLC | SENTINEL ADVISORY SERVICES | PENSION & WEALTH MANAGEMENT ADVISORS | LEONARD FINANCIAL GROUP | LEGACY FINANCIAL | HAGIN INVESTMENT MANAGEMENT | GREENHAVEN FINANCIAL MANAGEMENT | GLAZIER FINANCIAL ADVISORS | ESSENTIAL ASSET MANAGEMENT, LLC | EMERALD WEALTH ADVISORS | CHRISTOPHER LEE FINANCIAL | CASTLE HILL FINANCIAL | BUSINESS BENEFITS, INC. | BAY COLONY ADVISORY GROUP, INC. | BAY COLONY ADVISORS | ASYMMETRIC CAPITAL ADVISORY
CRD#: 152583 / SEC#: 801-107792
RIA
Registered Investment Advisory firm - (5/17/2016 Approved)Connecticut
Registered Investment Advisory firm - (6/3/2016 Terminated)Florida
Registered Investment Advisory firm - (5/19/2016 Terminated)Georgia
Registered Investment Advisory firm - (12/10/2014 Terminated)North Carolina
Registered Investment Advisory firm - (6/24/2016 Terminated)Texas
Registered Investment Advisory firm - (5/19/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
86 Baker Avenue Extension Suite 310, Concord, MA 01742
Mailing Address
Phone number
(978) 369-7200
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,039 |
| AUM (Assets Under Management) | $ 1,263,305,046 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/06/2025 | ||
| 09/25/2024 | ||
| 10/24/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BAY COLONY ADVISORS
CRD#: 152583Concord, MA 01742TRUST BUT VERIFY
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