James Wallace has been an investment adviser representative at Northeast Planning Associates since August 2026, 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 Wallace’s longest registration was 4 years at LPL Financial LLC (2014–2019). Before joining Northeast Planning Associates in 2026, James Wallace was registered through Strategic Advisers LLC and Fidelity Personal and Workplace Advisors.
- – present · under a yearBedford, NH · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · under a yearBedford, NH · Adviser representative · Firm CRD 6413
- Strategic Advisers LLC– · 1 yearBedford, NH · Adviser representative · Firm CRD 104555
- Fidelity Personal and Workplace Advisors– · 4 yearsGilbert, AZ · Adviser representative · Firm CRD 288590
- – · 4 yearsBedford, NH · Adviser representative · Firm CRD 131406
- LPL Financial LLC– · 4 yearsBedford, NH · Adviser representative · Firm CRD 6413
- Strategic Advisers, Inc.– · 2 yearsDanvers, MA · Adviser representative · Firm CRD 104555
Investment adviser representative registrations
James Wallace is registered as an investment adviser representative in 2 states. Each was approved in August 2026.
- New HampshireSince 10 August 2026
- TexasSince 10 August 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 December 2011 |
| Series 7 | General Securities Representative Examination | 13 April 2010 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 March 2010 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- James R Wallace
- CRD
- 5556536
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 43 CONSTITUTION DRIVE, Bedford, NH 03110
- Registration
- Investment adviser and broker registrations
- In the industry since
- September 2010
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Wallace work?
James Wallace is an investment adviser representative registered through Northeast Planning Associates, Inc. since August 2026, and is not listed among the firm’s executive officers or direct owners.
Is James Wallace a financial advisor?
Yes. James Wallace has a current investment-adviser registration in New Hampshire and Texas, through Northeast Planning Associates since August 2026.
How many years of experience does James Wallace have?
James Wallace has 16 years in the financial industry, since September 2010, across 4 adviser firms.
What exams has James Wallace passed?
James Wallace has passed 3 licensing exams: the Series 63, Series 7 and Series 66. The earliest, the Series 63, was passed in March 2010. FINRA credited James Wallace with the SIE, which began in October 2018.
Where did James Wallace work before Northeast Planning Associates?
Before Northeast Planning Associates, James Wallace was registered through Fidelity Personal and Workplace Advisors, January 2021 to March 2025; LPL Financial LLC, December 2014 to October 2019; Strategic Advisers, Inc., January 2012 to October 2014.
Where is James Wallace based?
James Wallace’s registered office is in Bedford, NH.
Is James Wallace registered with FINRA?
Yes. James Wallace has a current broker registration, under CRD 5556536.
Source: FINRA BrokerCheck
How can I verify James Wallace’s record?
Search CRD 5556536 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Wallace’s full registration record.
