James F. Lagace

SPURSTONE

Higganum, CT 06441

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CRD#: 7367351

Professional summary

James Frank Lagace, who also goes by James Lagace, is a registered financial advisor currently at SPURSTONE located in Higganum, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. James has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Lagace

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 Frank Lagace'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®

None

Experience

Current

November 13, 2025 - Present

SPURSTONE

Office #1: 12 Scovil Rd, Higganum, CT 06441

RIA

CRD#: 284158

Higganum, CT

Past

May 9, 2022 - January 10, 2024

CWM, LLC

RIA

CRD#: 155344

Farmington, CT

Past

May 9, 2022 - June 4, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WALLINGFORD, CT

Past

August 25, 2021 - May 11, 2022

OSAIC WEALTH, INC.

CRD#: 23131

FARMINGTON, CT

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".

SPURSTONE

SPURSTONE | SPURSTONE EXECUTIVE WEALTH SOLUTIONS | SPURSTONE ADVISORY SERVICES, LLC

CRD#: 284158 / SEC#: 801-127573

RIA

Registered Investment Advisory firm - (3/31/2023 Approved)

Connecticut

Registered Investment Advisory firm - (5/17/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(11/13/2025)

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 66

Date: 1/8/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/25/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/13/2021

Securities Industry Essentials Examination

Current Firm

SPURSTONE

SPURSTONE | SPURSTONE EXECUTIVE WEALTH SOLUTIONS | SPURSTONE ADVISORY SERVICES, LLC

CRD#: 284158 / SEC#: 801-127573

RIA

Registered Investment Advisory firm - (3/31/2023 Approved)

Connecticut

Registered Investment Advisory firm - (5/17/2023 Terminated)

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Contact information

Main Address

12 Scovil Rd, Higganum, CT 06441

Mailing Address

Phone number

(860) 264-1111

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A/2B (2/7/2025)

Regulatory assets under management

Total Number of Accounts	443
AUM (Assets Under Management)	$ 155,415,160

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. Lagace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SPURSTONE

CWM, LLC

CETERA WEALTH SERVICES, LLC

OSAIC WEALTH, INC.

Primary Firm SEC Registration

SPURSTONE

State Registrations and Notice Filings

Exams

Series 66

Date: 1/8/2022

Series 7TO

Date: 8/25/2021

SIE

Date: 5/13/2021

Current Firm

SPURSTONE

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPURSTONE

TRUST BUT VERIFY

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