James M Alspaugh
Professional Summary
James M Alspaugh, who also goes by James Merrit Alspaugh, Jimmy Merrit Alspaugh, is a registered financial advisor currently at FIDELITY BROKERAGE SERVICES LLC located in Covington, Kentucky. James is registered as a RR (Registered Representative) and started their career in finance in 2013. James has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James M Alspaugh, James Merrit Alspaugh, Jimmy Merrit Alspaugh
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP 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
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
Current Firm
FIDELITY BROKERAGE SERVICES LLC | FIDELITY BROKERAGE SERVICES, LLC | FIDELITY BROKERAGE SERVICES, INC.
Contact Information
Main Address
900 Salem Street, Smithfield, RI 02917Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262Phone Number
(617) 563-7000Established
Delaware since 06/08/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | — |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| KRUGMAN, JOSHUA D | HEAD OF BROKERAGE PRODUCT & OFFERINGS | 4461267 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| RICHARD, STEPHEN R | HEAD OF FIDELITY INSTITUTIONAL WEALTH MANAGEMENT SERVICES | 3113456 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL | — |
Disclosures
Regulatory Event
24Arbitration
131Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP 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
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC
CRS (Client Relationship Summary) - BD
Click below to view James M Alspaugh's CRS (Customer Relationship Summary).
Similar Advisors
J.W. COLE FINANCIAL, INC.
GOLDMAN SACHS & CO. LLC
AMERIPRISE FINANCIAL SERVICES, LLC
THE MARSHALL FINANCIAL GROUP LLC