James H. Macpherson

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CRD#: 5633768

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 Hugh Macpherson, who also goes by James Macpherson, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2009. James had worked at 2 firms and has passed the SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Macpherson

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

Past

February 16, 2010 - March 22, 2017

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357

CROTON-ON-HUDSON, NY

Past

March 5, 2009 - July 31, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

BOCA RATON, FL

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".

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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

General Industry/Product Exam

SIE

Date: 3/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2009

General Securities Representative Examination

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357 / SEC#: 801-64064, 8-50648

RIA

Registered Investment Advisory firm - SEC (1/14/2008 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/30/2022 Terminated)

New York

Registered Investment Advisory firm - SEC (9/15/1998 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

20 Baltic Place Suite 2 Suite 2, Croton-on-hudson, NY 10520

Mailing Address

20 Baltic Place Suite 2, Croton-on-hudson, NY 10520

Phone number

(914) 271-8102

Established

New York since 09/30/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (3/5/2025)

Direct owners and executive officers

Name	Position	CRD#
PETERSON, FREDERICK WILLIAM	VICE PRESIDENT	1420142
SCIANANDRE, DOMINICK THOMAS	PRESIDENT, CHIEF COMPLIANCE OFFICER AND FINANCIAL AND OPERATIONS PRINCIPAL	872050

Regulatory assets under management

Total Number of Accounts	432
AUM (Assets Under Management)	$ 121,730,000

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 H. Macpherson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 3/22/2017

Series 7

Date: 3/4/2009

Current Firm

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (5 States and Territories)

FINRA licenses (5 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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