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JD

James H. Dailey

SENTINEL PENSION ADVISORS.
Norwalk, CT
Some features on this profile are disabled
CRD#: 6216970
JD

Professional summary

James Halsey Dailey JR., AIF® is a registered financial advisor currently at SENTINEL PENSION ADVISORS, LLC. located in Norwalk, Connecticut and SENTINEL SECURITIES, LLC. located in Wakefield, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Halsey Dailey JR.'s CRS (Customer Relationship Summary).
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®
AIF®

Accredited Investment Fiduciary

Experience

Current

January 9, 2023 - Present

SENTINEL PENSION ADVISORS, LLC.

RIA
CRD#: 109901
Norwalk, CT
Current

January 9, 2023 - Present

SENTINEL SECURITIES, LLC.

Office #1: 100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880
BD
CRD#: 110942
WAKEFIELD, MA
Past

September 10, 2013 - August 2, 2022

SENTINEL PENSION ADVISORS, LLC.

RIA
CRD#: 109901
Melville, NY
Past

August 14, 2013 - August 2, 2022

SENTINEL SECURITIES, LLC.

BD
CRD#: 110942
Melville, NY

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".
SP
SENTINEL PENSION ADVISORS, LLC.
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP

CRD#: 109901 / SEC#: 801-55783

RIA
Registered Investment Advisory firm - (8/5/1998 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.
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

IAR
Connecticut
(1/9/2023)
RR
Connecticut
(1/10/2023)
IAR
Maryland
(1/12/2023)
IAR
Massachusetts
(2/7/2023)
IAR
Michigan
(1/6/2025)
IAR
Missouri
(1/12/2023)
IAR
Nevada
(1/2/2025)
IAR
New Jersey
(1/13/2023)
IAR
New York
(1/12/2023)
IAR
North Carolina
(1/13/2023)
IAR
Oregon
(1/5/2025)
IAR
Texas
(1/2/2025)
IAR
Virginia
(1/2/2025)
IAR
Washington
(1/2/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/7/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/2013
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SP
SENTINEL PENSION ADVISORS, LLC.
SENTINEL ADVISORS | SENTINEL PENSION ADVISORS, LLC. | SENTINEL PENSION ADVISORS, LLC | SENTINEL PENSION ADVISORS INC | SENTINEL GROUP | SENTINEL FINANCIAL GROUP | SENTINEL BENEFITS & FINANCIAL GROUP

CRD#: 109901 / SEC#: 801-55783

RIA
Registered Investment Advisory firm - (8/5/1998 Approved)
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Contact information

Main Address
100 Quannapowitt Pkwy Suite 402, Wakefield, MA 01880
Mailing Address
Phone number
(781) 914-1450
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SENTINEL PENSION ADVISORS WRAP BROCHURE 3.31.2025 (6/9/2025)
SENTINEL PENSION ADVISORS FORM ADV PART 2 3.31.2025 (4/18/2025)

Regulatory assets under management

Total Number of Accounts3,113
AUM (Assets Under Management)$ 10,730,228,384

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/25/2025
Cover Page
Report
09/23/2024
Cover Page
Report
10/23/2023
Cover Page
Report

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.

Company Information

SENTINEL PENSION ADVISORS, LLC.

CRD#: 109901Norwalk, CT

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