James Talcott
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Talcott, who also goes by Jake Joseph Talcott, James J Talcott, James Joseph Talcott, James Talcott, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2026 - April 9, 2026
FIDELITY BROKERAGE SERVICES LLC
October 21, 2025 - January 28, 2026
THRIVENT INVESTMENT MANAGEMENT INC.
October 2, 2025 - January 28, 2026
THRIVENT INVESTMENT MANAGEMENT INC.
November 17, 2021 - May 13, 2025
FISHER INVESTMENTS
May 18, 2021 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2021 - November 5, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 20, 2020 - February 9, 2021
CITIZENS SECURITIES, INC.
October 19, 2020 - February 9, 2021
CITIZENS SECURITIES, INC.
July 30, 2018 - August 28, 2020
SANTANDER SECURITIES LLC
July 26, 2018 - August 28, 2020
SANTANDER SECURITIES LLC
May 17, 2016 - July 20, 2018
CITIZENS SECURITIES, INC.
May 17, 2016 - July 20, 2018
CITIZENS SECURITIES, INC.
October 1, 2012 - July 8, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - July 8, 2015
J.P. MORGAN SECURITIES LLC
March 11, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 2, 2010 - March 3, 2011
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - March 3, 2011
PNC WEALTH MANAGEMENT LLC
May 12, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/2/2025
General Securities Representative ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
