James G. Pontious

CRD 1692930 · Fidelity Brokerage Services LLC · Schaumburg, IL

IA RegisteredBroker

Also appears in the source record as: James Gerard Pontious; Jim Pontious

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 8Series 4SIESeries 7
Registered states (28): Alabama · Arizona · Arkansas · California · Colorado · Florida · Georgia · Illinois · Indiana · Iowa · Kentucky · Louisiana · Massachusetts · Michigan · Missouri · Nebraska · New Jersey · New York · North Carolina · Ohio · Oregon · South Carolina · South Dakota · Tennessee · Texas · Washington · West Virginia · Wisconsin
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (15)

From the source registration record · current first

Strategic Advisers LLCCurrent
Lake Zurich, IL · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Lake Zurich, IL · BD capacity

Feb 18, 2021 → present
Fidelity Brokerage Services LLCCurrent
Schaumburg, IL · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Mar 11, 2021 → Mar 31, 2025
Tiaa-Cref Individual & Institutional Services, LLC
BD capacity

Mar 29, 2012 → Nov 13, 2020
Advice And Planning Services
IA capacity

Mar 29, 2012 → Nov 13, 2020
Ausdal Financial Partners, Inc.
BD capacity

Dec 20, 2010 → Dec 6, 2011
Nadler Financial Group, Inc.
IA capacity

Mar 4, 2011 → Dec 5, 2011
Charles Schwab & Co., Inc.
IA capacity

May 13, 1999 → Sep 10, 2010
Charles Schwab & Co., Inc.
BD capacity

Mar 25, 1992 → Sep 10, 2010
Continental Global Financial Corporation
BD capacity

Feb 15, 1990 → Nov 18, 1991
First Options Of Chicago, Inc.
BD capacity

Mar 16, 1989 → Sep 13, 1989
Olde Discount Corporation
BD capacity

Nov 2, 1987 → Oct 1, 1988
Robert W. Baird & Co. Incorporated
BD capacity

Jul 29, 1987 → Oct 13, 1987
Nml Equity Services, Inc.
BD capacity

Jul 29, 1987 → Aug 27, 1987

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1692930 ↗ FINRA BrokerCheck record for CRD 1692930 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.