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James Patrick Clancy

Investment Adviser Representative at OSAIC INSTITUTIONS, INC.

Glastonbury, CTCRD #1330063Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
11 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 11 states
ConnecticutFloridaMaineMassachusettsNew HampshireNew JerseyNew YorkPennsylvaniaRhode IslandSouth CarolinaVermont
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/29/2008
Series 63
Uniform Securities Agent State Law Examination
Passed 12/23/1985
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 8/26/2008
Series 7
General Securities Representative Examination
Passed 10/1/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Account minimum: $5,500

Firm-stated minimum; may be waived at the firm's discretion.

Source

Osaic Institutions, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC INSTITUTIONS, INC.Current
8/12/2025Glastonbury, CT
LPL FINANCIAL LLC
12/12/20196/17/2025Middletown, CT
INFINEX INVESTMENTS, INC.
3/11/201411/26/2019Glastonbury, CT
ING INVESTMENT MANAGEMENT CO. LLC
6/5/20123/3/2014New York, NY
MORGAN STANLEY SMITH BARNEY LLC
6/1/20096/14/2012New York, NY
MORGAN STANLEY & CO. INCORPORATED
7/17/20086/1/2009New York, NY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Patrick Clancy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

James Patrick Clancy - Financial Advisor in Glastonbury, CT | AdvisorFinder