DJ
David J. James
OSAIC INSTITUTIONS
Concord, NH 03302
Some features on this profile are disabled
CRD#: 6020373
DJ
Professional summary
David Joseph James, who also goes by David James, David Joseph Prutzanni Jr, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Concord, New Hampshire.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. David has worked at 6 firms and has passed the Series 65, Series 63, Series 82TO, Series 7TO, SIE, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David James | David Joseph Prutzanni Jr
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.) Board of Directors; Plymouth Regional Huskies Football and Cheer; President; Plymouth, NH 03264; Not Investment Related; June 2022; 8 hours per month; 0 during trading hours. Volunteer. Non profit.
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph James's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Joseph James'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
April 17, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 89 North Main Street, Concord, NH 03302Office #2: 131 Main St, Plymouth, NH 03264RIA
BD
CRD#: 35371
Concord, NH
Current
April 17, 2023 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 89 North Main Street, Concord, NH 03302Office #2: 131 Main St, Plymouth, NH 03264RIA
BD
CRD#: 35371
Concord, NH
Past
June 17, 2022 - April 13, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BEDFORD, NH
Past
June 17, 2022 - April 13, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BEDFORD, NH
Past
December 22, 2017 - June 22, 2022
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
LONDONDERRY, NH
Past
May 22, 2015 - June 22, 2022
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
LONDONDERRY, NH
Past
February 12, 2014 - December 19, 2014
SANTANDER SECURITIES LLC
BD
CRD#: 41791
WALPOLE, MA
Past
December 13, 2012 - February 13, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
PORTLAND, ME
Past
March 26, 2012 - October 16, 2012
PFS INVESTMENTS INC.
BD
CRD#: 10111
FRANKLIN, NH
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
California(6/13/2024)
RR
Connecticut(4/17/2023)
RR
Florida(4/17/2023)
RR
Maine(4/17/2023)
RR
Massachusetts(4/17/2023)
RR
Missouri(9/11/2024)
RR
New Hampshire(4/17/2023)
IAR
New Hampshire(4/17/2023)
RR
New York(4/17/2023)
RR
North Carolina(3/24/2025)
RR
Rhode Island(6/13/2024)
RR
Vermont(4/17/2023)
RR
Virginia(6/13/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 4/17/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/16/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
