James M. Desrocher

KEYNOTE FINANCIAL SERVICES

Vernon, CT 06066

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CRD#: 5401752

Professional summary

James Matthew Desrocher, who also goes by James M Desrocher, James Matthew Desrocher, is a registered financial advisor currently at KEYNOTE FINANCIAL SERVICES, LLC located in Vernon, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view James Matthew Desrocher'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 7, 2015 - Present

KEYNOTE FINANCIAL SERVICES, LLC

Office #1: 7 Keynote Drive Suite D, Vernon, CT 06066

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

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".

KEYNOTE FINANCIAL SERVICES, LLC

CRD#: 130384 / SEC#: 801-126600

RIA

Registered Investment Advisory firm - (9/22/2022 Approved)

Connecticut

Registered Investment Advisory firm - (11/29/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(11/7/2015)

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

KEYNOTE FINANCIAL SERVICES, LLC

CRD#: 130384 / SEC#: 801-126600

RIA

Registered Investment Advisory firm - (9/22/2022 Approved)

Connecticut

Registered Investment Advisory firm - (11/29/2022 Terminated)

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Contact information

Main Address

7 Keynote Drive Suite D, Vernon, CT 06066

Mailing Address

Phone number

(860) 875-5753

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (FIRM BROCHURE) (3/25/2025)

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 182,036,340

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 M. Desrocher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Desrocher's CRS (Customer Relationship Summary).

Certified licenses

Experience

EDWARD JONES

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

KEYNOTE FINANCIAL SERVICES, LLC

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

KEYNOTE FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYNOTE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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