JD
James M. Dolan
CREWS & ASSOCIATES
Wenham, MA
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CRD#: 1286147
JD
Professional summary
James Michael Dolan is a registered financial professional currently at CREWS & ASSOCIATES, INC. located in Wenham, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 24, Series 9 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James Michael Dolan's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 26, 2016 - Present
CREWS & ASSOCIATES, INC.
RIA
BD
CRD#: 8052
Wenham, MA
Past
October 10, 2012 - January 11, 2016
CANTOR FITZGERALD & CO.
BD
CRD#: 134
BOSTON, MA
Past
May 25, 2011 - October 16, 2012
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BOSTON, MA
Past
July 22, 2010 - May 9, 2011
WEDBUSH SECURITIES INC.
BD
CRD#: 877
BOSTON, MA
Past
January 15, 2010 - June 4, 2010
FINACORP SECURITIES
BD
CRD#: 41569
BOSTON, MA
Past
May 14, 2008 - August 4, 2009
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
BOSTON, MA
Past
January 7, 2008 - April 14, 2008
AXIOM CAPITAL MANAGEMENT, INC.
BD
CRD#: 26580
NEW YORK, NY
Past
October 20, 2005 - February 11, 2008
ALTA CAPITAL GROUP, LLC
BD
CRD#: 136618
CHICAGO, IL
Past
September 8, 2004 - May 25, 2005
BLAYLOCK & COMPANY, INC.
BD
CRD#: 35669
NEW YORK, NY
Past
May 3, 2002 - November 13, 2003
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
February 9, 2000 - April 1, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
May 1, 1998 - February 2, 2000
WACHOVIA SECURITIES, INC.
BD
CRD#: 431
CHARLOTTE, NC
Past
July 25, 1984 - April 1, 1998
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(2/17/2016)
RR
California(1/26/2016)
RR
Connecticut(1/28/2016)
RR
Illinois(1/26/2016)
RR
Indiana(3/22/2018)
RR
Maine(2/13/2018)
RR
Massachusetts(1/27/2016)
RR
New Hampshire(12/21/2017)
RR
New Jersey(2/1/2016)
RR
New York(2/17/2016)
RR
Tennessee(7/2/2021)
RR
Wisconsin(1/28/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CREWS & ASSOCIATES, INC.
CREWS | FIRST SECURITY CREWS | CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
RIA
Registered Investment Advisory firm - SEC (10/10/2023 Approved)Arkansas
Registered Investment Advisory firm - SEC (8/24/2006 Approved)California
Registered Investment Advisory firm - SEC (3/24/2021 Approved)Louisiana
Registered Investment Advisory firm - SEC (2/14/2019 Approved)Oklahoma
Registered Investment Advisory firm - SEC (4/13/2022 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
521 President Clinton Avenue Suite 800, Little Rock, AR 72201
Mailing Address
P.o. Box 1696, Little Rock, AR 72203-1696
Phone number
(501) 907-2000
Established
Arkansas since 07/06/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
130
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
