Articles Tagged with James Pettit

James Pettit

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2018 indicate that former Connecticut-based Ameriprise Financial Services broker/adviser James Pettit has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Pettit (CRD# 733916).

James Pettit has spent 34 years in the securities industry and was most recently registered with Ameriprise Financial Services in Suffield, Connecticut (2015-2016). Previous registrations include Janney Montgomery Scott in Glastonbury, Connecticut (2007-2014); Merrill Lynch in West Hartford, Connecticut (2006-2007); Advest in Hartford, Connecticut (2001-2006); Salomon Smith Barney in New York, New York (1986-2001); and Painewebber (1981-1986). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 12, 1986, and Series 7 (General Securities Representative Examination), which he obtained on June 20, 1981. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two regulatory sanctions and one pending regulatory complaint.

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