James Bedrock

CATALYST CAPITAL ADVISORS LLC

Edgewater, MD

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CRD#: 5782647

Professional summary

James Bedrock, who also goes by James David Bedrock, is a registered financial advisor currently at CATALYST CAPITAL ADVISORS LLC located in Edgewater, Maryland and ALT FUND DISTRIBUTORS LLC located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. James has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James David Bedrock

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 Bedrock'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®

None

Experience

Current

September 13, 2023 - Present

CATALYST CAPITAL ADVISORS LLC

RIA

CRD#: 139895

Edgewater, MD

Current

June 1, 2023 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017

CRD#: 146547

New York, NY

Past

October 21, 2019 - April 7, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

CHESTERTOWN, MD

Past

July 30, 2019 - April 7, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

CHESTERTOWN, MD

Past

February 2, 2018 - July 18, 2019

ALT FUND DISTRIBUTORS LLC

CRD#: 146547

New York, NY

Past

March 25, 2015 - July 7, 2017

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

September 9, 2014 - February 2, 2015

HENNION & WALSH ASSET MANAGEMENT, INC.

RIA

CRD#: 126236

PARSIPPANY, NJ

Past

September 8, 2011 - February 2, 2015

HENNION & WALSH, INC.

CRD#: 25766

PARSIPPANY, NJ

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".

CATALYST CAPITAL ADVISORS LLC

CRD#: 139895 / SEC#: 801-66886

RIA

Registered Investment Advisory firm - (6/9/2006 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.

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

Maryland
(6/6/2023)

IAR

New York
(9/13/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 10/3/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/13/2023

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 12/15/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CATALYST CAPITAL ADVISORS LLC

CRD#: 139895 / SEC#: 801-66886

RIA

Registered Investment Advisory firm - (6/9/2006 Approved)

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Contact information

Main Address

207 Calle De Parque Floor 7, Suite 2, San Juan, PR 00912

Mailing Address

Phone number

(646) 757-8387

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 10,130,157,646

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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Firm Stability Insights

James Bedrock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALT FUND DISTRIBUTORS LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

ALT FUND DISTRIBUTORS LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

HENNION & WALSH ASSET MANAGEMENT, INC.

HENNION & WALSH, INC.

Primary Firm SEC Registration

CATALYST CAPITAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/3/2023

Series 65

Date: 9/13/2023

Series 7TO

Date: 12/15/2022

SIE

Date: 10/1/2018

Series 7

Date: 9/7/2011

FINRA

Current Firm

CATALYST CAPITAL ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

CATALYST CAPITAL ADVISORS LLC

TRUST BUT VERIFY

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