James C. Zents

CRD 4957779 · Fidelity Brokerage Services LLC · Covington, KY

IA RegisteredBroker

Also appears in the source record as: James Clair Zents; James Zents

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 66Series 63Series 26Series 7TOSIESeries 7
Registered states (51): 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 · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 4957779 contains one or more disclosure events as of Aug 20, 2026.

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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 (12)

From the source registration record · current first

Strategic Advisers LLCCurrent
Fort Mitchell, KY · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Fort Mitchell, KY · BD capacity

Mar 2, 2021 → present
Fidelity Brokerage Services LLCCurrent
Covington, KY · BC capacity

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

May 10, 2021 → Mar 31, 2025
Great American Advisors, Inc.
IA capacity

Aug 21, 2012 → May 7, 2018
Great American Advisors, Inc.
BD capacity

Aug 14, 2012 → May 7, 2018
Wells Fargo Advisors, LLC
IA capacity

Jul 19, 2010 → Apr 2, 2012
Wells Fargo Advisors, LLC
BD capacity

Jul 9, 2010 → Apr 2, 2012
Chase Investment Services Corp.
IA capacity

Nov 26, 2008 → Nov 18, 2009
Chase Investment Services Corp.
BD capacity

Jul 22, 2008 → Nov 18, 2009
Natcity Investments, Inc.
BD capacity

Apr 17, 2006 → Jul 1, 2008
Citicorp Investment Services
BD capacity

Oct 27, 2005 → Feb 10, 2006

Source & corrections

Where this page comes from

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