James Felton Scott
Professional Summary
James Felton Scott, who also goes by James Felton Scott Jr, James Scott, is a registered financial advisor currently at MML DISTRIBUTORS, LLC located in Springfield, Massachusetts. James is registered as a RR (Registered Representative) and started their career in finance in 2009. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Felton Scott Jr, James Scott
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Years of Experience
17 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Current Firm
CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY
Contact Information
Main Address
1295 State Street, Springfield, MA 01111Mailing Address
1295 State Street, Springfield, MA 01111Phone Number
(413) 226-0000Established
Connecticut since 11/10/1994Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | — |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | — |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
Regulatory Event
3Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(8/2/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 2009About the Series 6 examSRO Registrations
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view James Felton Scott's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
LJI WEALTH MANAGEMENT, LLC
CHARLES SCHWAB & CO., INC.
CLARK ASSET MANAGEMENT, LLC