James F. Barrette

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (7)

SIESeries 7Series 6Series 24Series 26Series 66Series 63

Registered states (52)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

34

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (20)

From the source registration record · current first

• Strategic Advisers LLCCurrent

  Greenwood Village, CO · IA capacity
  start not retrieved → present
• Fidelity Brokerage Services LLCCurrent

  Greenwood Village, CO · BC capacity
  start not retrieved → present
• Fidelity Personal And Workplace Advisors

  Greenwood Village, CO · IA capacity
  Sep 13, 2021 → Mar 31, 2025
• Nylife Securities LLC

  Denver, CO · BC capacity
  May 20, 2020 → Jun 29, 2021
• Mml Investors Services, LLC

  Greenwood Village, CO · BC capacity
  Nov 11, 2019 → Apr 2, 2020
• Park Avenue Securities LLC

  Greenwood Village, CO · IA capacity
  Mar 25, 2019 → Oct 3, 2019
• Park Avenue Securities LLC

  Greenwood Village, CO · BC capacity
  Nov 27, 2018 → Oct 3, 2019
• Esi Financial Advisors

  Castle Rock, CO · IA capacity
  Jan 8, 2018 → Nov 5, 2018
• Equity Services, Inc.

  Castle Rock, CO · BC capacity
  Jan 8, 2018 → Nov 5, 2018
• Valic Financial Advisors, Inc.

  Lakewood, CO · IA capacity
  Sep 26, 2017 → Jan 18, 2018
• Valic Financial Advisors, Inc.

  Lakewood, CO · BC capacity
  Sep 26, 2017 → Jan 18, 2018
• Waddell & Reed

  Denver, CO · IA capacity
  Jul 12, 2013 → Jun 9, 2017
• Waddell & Reed

  Denver, CO · BC capacity
  Jul 12, 2013 → Jun 9, 2017
• Mwa Financial Services, Inc.

  Highlands Ranch, CO · IA capacity
  Aug 16, 2010 → Jul 15, 2013
• Mwa Financial Services Inc.

  Highlands Ranch, CO · BC capacity
  Aug 13, 2010 → Jul 15, 2013
• New England Securities Corporation

  Denver, CO · IA capacity
  Jul 1, 2005 → Jul 29, 2010
• New England Securities

  Denver, CO · BC capacity
  Jan 12, 2005 → Jul 29, 2010
• Prudential Financial Planning Services

  Englewood, CO · IA capacity
  Apr 26, 2001 → Dec 13, 2004
• Pruco Securities, LLC.

  Newark, NJ · BC capacity
  Dec 13, 1990 → Dec 13, 2004
• The Prudential Insurance Company Of America

  Newark, NJ · BC capacity
  Dec 13, 1990 → Dec 10, 1993

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

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