James Anderer has been an investment adviser representative at 4Thought Financial Group since May 2025, and is not listed among the firm’s executive officers or direct owners. James Anderer holds an MBA with a concentration in finance from Zicklin School of Business, Baruch College, CUNY. James Anderer studied Tisch School of the Arts at New York University.
4thought Financial Group Inc. is a Syosset, NY firm with $214M under management, 344 clients and 5 advisers in one office, as of its January 2026 filing.
James Anderer is an Investment Adviser Representative of 4Thought Financial Group Inc., providing financial planning and investment advisory services to individuals, institutions, and third party Registered Investment Adviser firms. He was previously employed in financial services by Principal Securities, Inc. and Principal Life Insurance. Before his work in finance he led marketing departments at Madison Square Garden Entertainment, The Harvard Companies, technology start-ups, and Disney Theatrical Group.
James Anderer’s longest registration is the current one, 1 year at 4Thought Financial Group since 2025. Before joining 4Thought Financial Group in 2025, James Anderer was registered through Principal Securities, Inc.
- – present · 1 yearMiami Shores, FL · Adviser representative · Firm CRD 162997
- Principal Securities, Inc.– · under a yearMiami, FL · Adviser representative · Firm CRD 1137
Investment adviser representative registrations
James Anderer is registered as an investment adviser representative in 3 states. The first approvals date from May 2025; the most recent is California, in April 2026.
- CaliforniaSince 4 April 2026
- FloridaSince 12 June 2025
- New YorkSince 30 May 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 September 2024 |
| Series 7TO | General Securities Representative Examination | 28 August 2024 |
| SIE | Securities Industry Essentials Examination | 27 June 2024 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- James Michael Anderer
- CRD
- 7954647
- Firm
- 4Thought Financial Group · CRD 162997
- Office
- Miami Shores, FL
- Registration
- Investment adviser registration
- In the industry since
- October 2024
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- 4tfg.com
Where does James Anderer work?
James Anderer is an investment adviser representative registered through 4thought Financial Group Inc. since May 2025, and is not listed among the firm’s executive officers or direct owners.
Is James Anderer a financial advisor?
Yes. James Anderer has a current investment-adviser registration in California, Florida and New York, through 4Thought Financial Group since May 2025.
How many years of experience does James Anderer have?
James Anderer has 2 years in the financial industry, since October 2024, across 2 adviser firms.
What exams has James Anderer passed?
James Anderer has passed 3 licensing exams: the SIE, Series 7TO and Series 66. The earliest, the SIE, was passed in June 2024.
Where did James Anderer work before 4Thought Financial Group?
Before 4Thought Financial Group, James Anderer was registered through Principal Securities, Inc., September 2024 to April 2025.
Where is James Anderer based?
James Anderer’s registered office is in Miami Shores, FL.
Is James Anderer registered with FINRA?
No. James Anderer has no current broker registration.
How can I verify James Anderer’s record?
Search CRD 7954647 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Anderer’s full registration record.
