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James Fisher Dwinell

Boston Partners Securities, LLC

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About James Fisher Dwinell

James Fisher Dwinell has been in the securities industry since March 17, 2002. James is currently registered with Boston Partners Securities, LLC and is a general securities principal, having passed the Series 24 exam in October 2010. James has a strong background in the financial services industry with experience at a number of firms including Fidelity Investments Institutional Services Company, Inc., Pyramis Distributors Corporation LLC, Babson Capital Securities Inc and Allmerica Investments, Inc. James holds the Series 63, Series 7 and SIE licenses and is registered to provide securities related services in 51 states.

Firm Information

James Dwinell is currently registered with Boston Partners Securities, LLC. Boston Partners Securities, LLC is a Limited Liability Company formed in May 2004. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have been involved in seven Regulatory Events and one Arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

32

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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James Dwinell’s Registration & Firm History

MA

08/22/2017 - Present

Boston Partners Securities, LLC (BOSTON MA)

RI

05/12/2016 - 01/06/2017

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

RI

04/13/2009 - 05/12/2016

PYRAMIS DISTRIBUTORS CORPORATION LLC (SMITHFIELD RI)

MA

05/26/2006 - 05/11/2007

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (BOSTON MA)

NC

02/13/2002 - 03/31/2006

BABSON CAPITAL SECURITIES INC (CHARLOTTE NC)

MA

07/08/1994 - 05/11/1995

ALLMERICA INVESTMENTS, INC. (WORCESTER MA)

NY

12/20/1991 - 09/22/1993

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/17/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/13/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Fisher Dwinell.
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