James Reynolds has been an investment adviser representative at Northeast Planning Associates since August 2022, 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 Reynolds’ longest registration is the current one, 19 years at LPL Financial LLC since 2007.
- – present · 4 yearsBurlington, VT · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 19 yearsAdviser representative · Firm CRD 6413
- – · 12 yearsRutland, VT · Adviser representative · Firm CRD 131406
Investment adviser representative registrations
James Reynolds is registered as an investment adviser representative in Vermont, since September 2007.
- VermontSince 4 September 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 22 December 2003 |
| Series 7 | General Securities Representative Examination | 17 December 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 27 January 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Brian Reynolds
- CRD
- 2997795
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- Burlington, VT
- Registration
- Investment adviser and broker registrations
- In the industry since
- February 1998
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Reynolds work?
James Reynolds is an investment adviser representative registered through Northeast Planning Associates, Inc. since August 2022, and is not listed among the firm’s executive officers or direct owners.
Is James Reynolds a financial advisor?
Yes. James Reynolds has a current investment-adviser registration in Vermont, through Northeast Planning Associates since August 2022.
How many years of experience does James Reynolds have?
James Reynolds has 28 years in the financial industry, since February 1998, across 2 adviser firms.
What exams has James Reynolds passed?
James Reynolds has passed 3 licensing exams: the Series 6, Series 7 and Series 66. The earliest, the Series 6, was passed in January 1998. FINRA credited James Reynolds with the SIE, which began in October 2018.
Where is James Reynolds based?
James Reynolds’ registered office is in Burlington, VT.
Is James Reynolds registered with FINRA?
Yes. James Reynolds has a current broker registration, under CRD 2997795.
Source: FINRA BrokerCheck
How can I verify James Reynolds’ record?
Search CRD 2997795 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Reynolds’ full registration record.
