James Ayers has been an investment adviser representative at Northeast Planning Associates since June 2009, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
James Ayers’ longest registration is the current one, 17 years at LPL Financial LLC since 2009.
- – present · 17 yearsAdviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 17 yearsBedford, NH · Adviser representative · Firm CRD 6413
Investment adviser representative registrations
James Ayers is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from January 2009; the most recent is Texas, in August 2021.
- New HampshireSince 20 January 2009
- TexasResidentSince 23 August 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 16 January 2009 |
| Series 7 | General Securities Representative Examination | 11 December 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Timothy Ayers
- CRD
- 5600203
- Firm
- Northeast Planning Associates · CRD 131406
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2008
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Ayers work?
James Ayers is an investment adviser representative registered through Northeast Planning Associates, Inc. since June 2009, and is not listed among the firm’s executive officers or direct owners.
Is James Ayers a financial advisor?
Yes. James Ayers has a current investment-adviser registration in New Hampshire and Texas, through Northeast Planning Associates since June 2009.
How many years of experience does James Ayers have?
James Ayers has 17 years in the financial industry, since December 2008, across 2 adviser firms.
What exams has James Ayers passed?
James Ayers has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2008. FINRA credited James Ayers with the SIE, which began in October 2018.
Is James Ayers registered with FINRA?
Yes. James Ayers has a current broker registration, under CRD 5600203.
Source: FINRA BrokerCheck
How can I verify James Ayers’ record?
Search CRD 5600203 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Ayers’ full registration record.
