James Walter Stephens
Investment Adviser Representative at Strategic Advisers LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Walter Stephens is an investment adviser representative with Strategic Advisers LLC in Stamford, CT, where they have been registered since 2025. They have worked in the securities industry since 2024 and were previously registered with Fidelity Personal and Workplace Advisors. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Connecticut and Texas.
Office
Advisors at this office: 22
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Connecticut, Texas
- Broker:
11 states and territories
Connecticut, Florida, Maine, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Texas, Vermont
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- University OF Vermont Tutoring CenterAug 2023 – May 2024Burlington, VT
- Unemployed/studentAug 2019 – Jun 2020Northfield, VT
- Unemployed/studentSep 2014 – Jun 2019Northfield, VT
- Northfield Country CLUBMay 2021 – Aug 2021Northfield, VT
- Ameriprise FinancialMay 2022 – Aug 2022Barre, VT
- Unemployed/studentJul 2020 – May 2021Burlington, VT
- Ameriprise FinancialJun 2023 – Aug 2023Barre, VT
- Unemployed/studentAug 2021 – May 2022Burlington, VT
- Student Transportation OF AmericaJun 2019 – Aug 2019Williamstown, VT
- UnemployedMay 2024 – Sep 2024Burlington, VT
- University OF Vermont Tutoring CenterAug 2022 – May 2023Burlington, VT
- Fidelity InvestmentsSep 2024 – no end date reportedStamford, CT
- Student Transportation OF AmericaJun 2020 – Jul 2020Williamstown, VT
- UnemployedMay 2023 – Jun 2023Burlington, VT
- Fidelity InvestmentsMar 2025 – no end date reportedBoston, MA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Strategic Advisers LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 17,064
- Offices listed on AdvisorFinder:
- 3
- Main office:
- Boston, MA
- SEC file number:
- 801-13243
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Strategic Advisers LLC
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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 Walter Stephens 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.
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