JW
James R. Wallace
STRATEGIC ADVISERS
BEDFORD, NH
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CRD#: 5556536
JW
James R WallaceSTRATEGIC ADVISERS
Professional summary
James R Wallace, who also goes by James Richard Wallace, Jim R Wallace, Jim Wallace, James Wallace, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Bedford, New Hampshire and LPL FINANCIAL LLC located in Bedford, New Hampshire.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. James has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
James Richard Wallace | Jim R Wallace | Jim Wallace | James Wallace
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.
1. 08/2026 - Northeast Planning Associates, INC - DBA for LPL Business (entity for LPL business) - Investment related - At Reported Business Location(s) - 160 Hrs/Mth - 160 Hrs During Trading - OBA start date: 08/10/2026 2. 08/2026 - James Wallace - Non-Variable Insurance - Investment related - Bedford, NH 03110 - 15 Hrs/Mth - 15 Hrs During Trading - OBA start date: 08/10/2026
CRS (Client Relationship Summary) - RIA
Click below to view James R Wallace's 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®
NoneExperience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BEDFORD, NH
Current
August 10, 2026 - Present
LPL FINANCIAL LLC
Office #1: 43 Constitution Dr., Bedford, NH 03110RIA
BD
CRD#: 6413
BEDFORD, NH
Current
November 5, 2020 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Contra Way, Merrimack, NH 03054BD
CRD#: 7784
MERRIMACK, NH
Current
August 10, 2026 - Present
LPL FINANCIAL LLC
Office #1: 43 Constitution Dr., Bedford, NH 03110RIA
BD
CRD#: 6413
BEDFORD, NH
Past
January 6, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GILBERT, AZ
Past
February 18, 2020 - October 28, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
QUEEN CREEK, AZ
Past
January 14, 2015 - September 11, 2019
NORTHEAST PLANNING ASSOCIATES, INC.
RIA
CRD#: 131406
BEDFORD, NH
Past
December 3, 2014 - October 23, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
BEDFORD, NH
Past
December 3, 2014 - October 23, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
BEDFORD, NH
Past
January 3, 2012 - October 28, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
DANVERS, MA
Past
April 14, 2010 - October 28, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
DANVERS, MA
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
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.RR
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
RR
Alabama(1/8/2021)
RR
Alaska(1/8/2021)
RR
Arizona(11/9/2020)
RR
Arkansas(1/8/2021)
RR
California(12/18/2020)
RR
Colorado(12/18/2020)
RR
Connecticut(12/18/2020)
RR
Delaware(1/8/2021)
RR
District of Columbia(1/8/2021)
RR
Florida(12/18/2020)
RR
Georgia(12/18/2020)
RR
Hawaii(1/8/2021)
RR
Idaho(1/8/2021)
RR
Illinois(12/18/2020)
RR
Indiana(12/18/2020)
RR
Iowa(1/8/2021)
RR
Kansas(1/8/2021)
RR
Kentucky(1/8/2021)
RR
Louisiana(1/8/2021)
RR
Maine(1/8/2021)
RR
Maryland(12/18/2020)
RR
Massachusetts(12/18/2020)
RR
Michigan(12/18/2020)
RR
Minnesota(12/18/2020)
RR
Mississippi(1/8/2021)
RR
Missouri(12/18/2020)
RR
Montana(1/8/2021)
RR
Nebraska(1/8/2021)
RR
Nevada(1/8/2021)
RR
New Hampshire(1/8/2021)
IAR
New Hampshire(7/9/2025)
RR
New Jersey(12/18/2020)
RR
New Mexico(1/8/2021)
RR
New York(12/18/2020)
RR
North Carolina(12/18/2020)
RR
North Dakota(1/8/2021)
RR
Ohio(12/21/2020)
RR
Oklahoma(1/8/2021)
RR
Oregon(1/8/2021)
RR
Pennsylvania(12/18/2020)
RR
Puerto Rico(1/8/2021)
RR
Rhode Island(1/8/2021)
RR
South Carolina(1/8/2021)
RR
South Dakota(1/8/2021)
RR
Tennessee(1/8/2021)
RR
Texas(12/18/2020)
IAR
Texas(3/31/2025)
IAR
Texas(8/10/2026)
RR
Utah(1/8/2021)
RR
Vermont(1/8/2021)
RR
Virginia(12/18/2020)
RR
Washington(12/18/2020)
RR
West Virginia(1/8/2021)
RR
Wisconsin(12/18/2020)
RR
Wyoming(1/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Loading...
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
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 |
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.
