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James Clancy

Osaic Institutions, INC.
39 Years of Experience
Englewood, NJ
2 DisclosuresBroker
View SEC Summary
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James Clancy is a registered investment advisor at Osaic Institutions, INC., based in Englewood, NJ, with 39 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 9 more. Their firm serves 16,312 clients with $6.5B in assets under management.

Osaic Institutions, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
570 advisors
Number of Clients
16,312 clients
Average Client Portfolio
$398K average
Assets Under Management
$6.5B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum advisory fee is generally 2.50% and is negotiable between the advisor and client.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

70 Engle St, Englewood, NJ, 07631

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
July 2019
Final
Regulatory
December 1995
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James operates Webster Investments as a DBA for his LPL business since 2019.

Employment History
Current Registrations
Osaic Institutions, INC.Broker
August 2025 - Present · 1 yr 2 mos
Osaic Institutions, INC.
August 2025 - Present · 1 yr 2 mos
Previous Registrations
LPL Financial LLCBroker
December 2019 - June 2025 · 5 yrs 6 mos
LPL Financial LLC
December 2019 - June 2025 · 5 yrs 6 mos
Infinex Investments, INC.
March 2014 - November 2019 · 5 yrs 8 mos
Infinex Investments, INC.Broker
February 2014 - November 2019 · 5 yrs 9 mos
Ing Investment Management CO. LLC
June 2012 - March 2014 · 1 yr 9 mos
Ing Investments Distributor, LLCBroker
June 2012 - March 2014 · 1 yr 9 mos
Morgan Stanley Smith BarneyBroker
June 2009 - June 2012 · 3 yrs
Morgan Stanley Smith Barney LLC
June 2009 - June 2012 · 3 yrs
Morgan Stanley & CO. Incorporated
July 2008 - June 2009 · 11 mos
Morgan Stanley & CO. IncorporatedBroker
July 2008 - June 2009 · 11 mos
Citigroup Global Markets INC.Broker
January 2008 - August 2008 · 7 mos
Performance Specialist Group LLCBroker
March 2002 - January 2003 · 10 mos
Kellogg Specialist Group LLCBroker
February 2002 - July 2007 · 5 yrs 5 mos
Performance Specialist Group, LLCBroker
January 2002 - April 2002 · 3 mos
Fleet Specialist, INC.Broker
October 2000 - January 2002 · 1 yr 3 mos
Fleet Securities, INC.Broker
April 1998 - August 2000 · 2 yrs 4 mos
Quick & Reilly, INC.Broker
April 1993 - July 1997 · 4 yrs 3 mos
Stokes, Hoyt & CO.Broker
February 1985 - January 1993 · 7 yrs 11 mos
State Registrations11 states
CTFLMAMENHNJNYPARISCVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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