James M. Desrocher

WINDSOR, CT 06095

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CRD#: 5401752

Professional summary

James Matthew Desrocher, who also goes by James M Desrocher, James Matthew Desrocher, was a registered financial advisor .

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

James M Desrocher | James Matthew Desrocher

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

Current

August 17, 2026 - Present

Office #1: 360 Bloomfield Ave, Windsor, CT 06095

WINDSOR, CT

Past

November 7, 2015 - September 4, 2026

KEYNOTE FINANCIAL SERVICES, LLC

RIA

CRD#: 130384

VERNON, CT

Past

September 29, 2015 - October 30, 2015

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

August 14, 2007 - January 12, 2010

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

HARTFORD, CT

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
(8/17/2026)

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 66

Date: 10/17/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/31/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/30/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/29/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/13/2007

Investment Company Products/Variable Contracts Representative Examination

Current firm

No current employment

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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James M. Desrocher

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KEYNOTE FINANCIAL SERVICES, LLC

EDWARD JONES

LINCOLN FINANCIAL DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2015

Series 63

Date: 10/31/2007

SIE

Date: 10/30/2015

Series 7

Date: 9/29/2015

Series 6

Date: 8/13/2007

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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