James P. Fitzmaurice

MARIN BAY WEALTH ADVISORS

Sausalito, CA 94965

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CRD#: 1670867

Professional summary

James Patrick Fitzmaurice, who also goes by Fitz Fitzmaurice, Jim Fitzmaurice, is a registered financial advisor currently at MARIN BAY WEALTH ADVISORS, LLC located in Sausalito, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fitz Fitzmaurice | Jim Fitzmaurice

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Fitzmaurice's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 25, 2017 - Present

MARIN BAY WEALTH ADVISORS, LLC

Office #1: 1 Harbor Dr. Suite 300, Sausalito, CA 94965

RIA

CRD#: 289184

Sausalito, CA

Past

January 3, 2011 - August 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 3, 2011 - August 30, 2017

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

April 2, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAN FRANCISCO, CA

Past

March 30, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

December 20, 2002 - March 27, 2009

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

SAN FRANCISCO, CA

Past

December 20, 2002 - March 27, 2009

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

SAN FRANCISCO, CA

Past

February 29, 2000 - April 18, 2002

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

Past

June 16, 1987 - April 9, 1999

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

MARIN BAY WEALTH ADVISORS, LLC

MARIN BAY WEALTH ADVISORS, LLC | MARIN BAY WEALTH MANAGEMENT

CRD#: 289184 / SEC#: 801-111030

RIA

Registered Investment Advisory firm - (8/25/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/25/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/15/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MARIN BAY WEALTH ADVISORS, LLC

MARIN BAY WEALTH ADVISORS, LLC | MARIN BAY WEALTH MANAGEMENT

CRD#: 289184 / SEC#: 801-111030

RIA

Registered Investment Advisory firm - (8/25/2017 Approved)

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Contact information

Main Address

321 San Anselmo Ave., San Anselmo, CA 94960

Mailing Address

Phone number

(415) 944-6457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A FIRM BROCHURE (3/17/2025)

ADV 2A WRAP BROCHURE (3/17/2025)

Regulatory assets under management

Total Number of Accounts	401
AUM (Assets Under Management)	$ 328,728,580

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James P. Fitzmaurice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Patrick Fitzmaurice's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

ROBERTSON STEPHENS, INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

MARIN BAY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/12/1997

Series 63

Date: 6/1/1987

SIE

Date: 8/30/2017

Series 7

Date: 10/17/1987

Series 6

Date: 6/15/1987

Current Firm

MARIN BAY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MARIN BAY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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