James C. Haggard

STRATEGIC ADVISERS LLC | Financial Consultant

SARASOTA, FL

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CRD#: 5088671

Professional summary

James C Haggard, who also goes by James Casey Haggard, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Sarasota, Florida and FIDELITY BROKERAGE SERVICES LLC located in Sarasota, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. James has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

I guide my clients through a planning process that helps them to define and prioritize their goals.  Once I have a thorough understanding of where they are, and where they want to go, I work with them to put strategies in place to help them on their journey.  I meet regularly with them to review progress and help them navigate any changes along the way.  My goal is to give my clients the confidence that comes from having a plan and the peace of mind to enjoy the retirement they deserve.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Casey Haggard

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 C Haggard'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

Education

Eastern Michigan University

Bachelor of Business Administration - Finance

2002

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 201 N Cattlemen Rd, Sarasota, FL 34243

RIA

CRD#: 104555

SARASOTA, FL

Current

October 30, 2019 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 201 N Cattlemen Rd, Sarasota, FL 34243

CRD#: 7784

Sarasota, FL

Past

November 8, 2019 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SARASOTA, FL

Past

September 22, 2014 - October 7, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

SARASOTA, FL

Past

September 19, 2014 - October 7, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

SARASOTA, FL

Past

February 27, 2013 - September 17, 2014

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 7691

FARMINGTON HILLS, MI

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".

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 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

Alabama
(7/8/2022)

Arizona
(4/23/2020)

California
(11/14/2019)

Colorado
(11/14/2019)

Florida
(10/30/2019)

IAR

Florida
(3/31/2025)

Georgia
(6/29/2020)

Indiana
(11/14/2019)

Iowa
(9/29/2023)

Kansas
(1/5/2024)

Kentucky
(2/12/2025)

Massachusetts
(11/14/2019)

Michigan
(12/11/2019)

Missouri
(7/21/2023)

Nebraska
(5/31/2024)

New Hampshire
(11/14/2019)

New Jersey
(1/23/2024)

North Carolina
(3/2/2024)

Pennsylvania
(7/19/2024)

Texas
(11/14/2019)

IAR

Texas
(3/31/2025)

Vermont
(2/12/2025)

Virginia
(2/12/2025)

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: 12/5/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2008

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

CRD#: 104555 / SEC#: 801-13243

RIA

Registered Investment Advisory firm - (8/11/1977 Approved)

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Contact information

Main Address

155 Seaport Blvd, Boston, MA 02210-2698

Mailing Address

Phone number

(617) 563-7000

Established

Firm type

Fiscal year end

# of Employees

16,291

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)

FIDELITY STRATEGIC DISCIPLINES (11/10/2025)

FIDELITY WEALTH SERVICES (9/10/2025)

STRATEGIC ADVISERS LLC (9/10/2025)

FIDELITY MANAGED FIDFOLIOS (3/31/2025)

FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)

FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,486,631
AUM (Assets Under Management)	$ 1,067,664,605,590

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report

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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James C. Haggard

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Education

Eastern Michigan University

Experience

FIDELITY BROKERAGE SERVICES LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STRATEGIC ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/5/2008

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2008

FINRA

New York Stock Exchange

Current Firm

STRATEGIC ADVISERS LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

STRATEGIC ADVISERS LLC

TRUST BUT VERIFY

Contact information

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