James F. Catherwood

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CRD#: 7084710

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Frederick Catherwood, who also goes by James Catherwood, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2019. James had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

James Catherwood

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.

REGISTRANT IS A CONTRIBUTING AUTHOR TO FUNDRISE.COM (A REAL ESTATE FINANCE TECHNOLOGY FIRM), HOWEVER, REGISTRANT DOES NOT DEVOTE A MATERIAL AMOUNT OF TIME DURING SECURITIES TRADING HOURS. REGISTRANT IS ALSO AN INDEPENDENT CONTRACTOR FOR GLOBAL FINANCIAL DATA AS A FINANCIAL CONTENT CREATOR/WRITER AND DATA CONTRIBUTOR TO THEIR FINANCIAL HISTORY CONTENT. LASTLY, REGISTRANT IS THE MANAGING MEMBER OF INVESTOR AMNESIA LLC WHICH PRODUCES ONLINE LECTURES/COURSES AND CLASSES REGARDING FINANCIAL HISTORY. REGISTRANT SPENDS LESS THAN 5-10 HOURS A MONTH DEVOTED TO THESE OUTSIDE BUSINESS AND NONE DURING NORMAL SECURITIES TRADING HOURS (LESS THAN 5% OF HIS TOTAL WORK EFFORT VERSUS TIME SPENT WORKING FOR O'SHAUGHNESSY ASSET MANAGEMENT AS HIS MAIN METHOD OF EMPLOYMENT).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 31, 2019 - June 4, 2024

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

RIA

CRD#: 144594

Washington D.C., DC

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".

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2019

Uniform Investment Adviser Law Examination

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

CRD#: 144594 / SEC#: 801-68177

RIA

Registered Investment Advisory firm - (7/25/2007 Approved)

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Contact information

Main Address

100 First Stamford Place, Stamford, CT 06902

Mailing Address

Phone number

(203) 975-3333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OSAM FORM ADV PART 2 (12-2024) FINAL (12/17/2024)

Regulatory assets under management

Total Number of Accounts	6,791
AUM (Assets Under Management)	$ 12,599,503,777

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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James F. Catherwood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2019

Current Firm

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

O'SHAUGHNESSY ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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