James P. Jeffery

PROCYON

New York, NY 10017

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CRD#: 502820

Professional summary

James Peter Jeffery is a registered financial advisor currently at PROCYON located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. James has worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 52, Series 24 and Series 53 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Peter Jeffery'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

February 19, 2019 - Present

PROCYON

Office #1: 575 5th Ave 14th Floor, New York, NY 10017

RIA

CRD#: 288239

New York, NY

Past

June 25, 2020 - December 31, 2021

PROCYON INSTITUTIONAL PARTNERS, LLC

RIA

CRD#: 288244

New York, NY

Past

October 8, 2015 - March 12, 2019

SOLARIS ASSET MANAGEMENT

RIA

CRD#: 129650

NEW YORK, NY

Past

October 8, 2015 - March 12, 2019

SOLARIS ADVISORS, LLC

RIA

CRD#: 136683

NEW YORK, NY

Past

August 1, 2014 - September 28, 2015

JEFFERY ASSET MANAGEMENT LLC

RIA

CRD#: 116405

NEW YORK, NY

Past

January 3, 1995 - November 20, 2000

HERBERT J. SIMS & CO, INC.

CRD#: 3420

FAIRFIELD, CT

Past

November 30, 1990 - November 15, 1994

ASIEL & CO. LLC

CRD#: 1112

NEW YORK, NY

Past

April 2, 1985 - November 30, 1990

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

February 14, 1985 - March 1, 1985

FIRSTMARK SECURITIES, INC.

CRD#: 13184

Past

August 8, 1984 - February 21, 1985

RUSSELL & CO

CRD#: 10264

Past

October 8, 1982 - May 4, 1984

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

December 19, 1978 - September 29, 1982

STOEVER, GLASS & COMPANY INC.

CRD#: 7031

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".

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(2/19/2019)

IAR

New York
(5/24/2021)

IAR

Texas
(2/19/2019)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/19/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/12/1979

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 1/15/1978

Municipal Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/17/1995

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/17/1993

Municipal Securities Principal Examination

Current Firm

PROCYON

CRD#: 288239 / SEC#: 801-110493

RIA

Registered Investment Advisory firm - (5/26/2017 Approved)

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Contact information

Main Address

1 Corporate Drive Suite 225, Shelton, CT 06484

Mailing Address

Phone number

(475) 232-2704

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROCYON DISCLOSURE BROCHURE (11/4/2025)

Regulatory assets under management

Total Number of Accounts	5,638
AUM (Assets Under Management)	$ 7,769,672,465

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.

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Advisor Monitoring

Firm Stability Insights

James P. Jeffery

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PROCYON INSTITUTIONAL PARTNERS, LLC

SOLARIS ASSET MANAGEMENT

SOLARIS ADVISORS, LLC

JEFFERY ASSET MANAGEMENT LLC

HERBERT J. SIMS & CO, INC.

ASIEL & CO. LLC

TUCKER ANTHONY INCORPORATED

FIRSTMARK SECURITIES, INC.

RUSSELL & CO

CITIGROUP GLOBAL MARKETS INC.

STOEVER, GLASS & COMPANY INC.

Primary Firm SEC Registration

PROCYON

State Registrations and Notice Filings

Exams

Series 65

Date: 5/19/2000

Series 63

Date: 9/12/1979

Series 7

Date: 10/16/1982

Series 52

Date: 1/15/1978

Series 24

Date: 2/17/1995

Series 53

Date: 11/17/1993

Current Firm

PROCYON

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROCYON

TRUST BUT VERIFY

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