JB
James A. Baronian
WESTMINSTER FINANCIAL ADVISORY CORP
West Hartford, CT 06110
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CRD#: 1806087
JB
Professional summary
James Andrew Baronian, who also goes by James Andrew Baroaian, Jim Baroaian, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in West Hartford, Connecticut and WESTMINSTER FINANCIAL SECURITIES, INC. located in West Hartford, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. James has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Andrew Baroaian | Jim Baroaian
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.
Medicare Advantage Plan and Medicare Supplement plan sales, not investment related, 433 S. Main St., Ste 305 West Hartford, CT 06110, selling Medicare Advantage plans Medicare Supplemental plans and Medicare Prescription D plans, head of marketing and sales as insurance agent with AHIP certification, start date 6/1/2025, 15 hours a week of that 10 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Andrew Baronian'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
September 26, 2002 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 433 South Main Street Suite 305, West Hartford, CT 06110RIA
CRD#: 110283
West Hartford, CT
Current
October 24, 2000 - Present
WESTMINSTER FINANCIAL SECURITIES, INC.
Office #1: 433 South Main Street Suite 305, West Hartford, CT 06110BD
CRD#: 20677
West Hartford, CT
Past
March 22, 1988 - November 22, 2000
INVESTORS SERVICES OF HARTFORD, INC.
BD
CRD#: 6885
WEST HARTFORD, CT
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".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 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.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
Arizona(6/13/2002)
RR
Connecticut(10/24/2000)
IAR
Connecticut(9/26/2002)
RR
Delaware(10/20/2025)
RR
Florida(1/3/2017)
IAR
Florida(7/7/2021)
RR
Georgia(10/24/2000)
IAR
Georgia(7/18/2024)
RR
Hawaii(4/21/2022)
RR
Illinois(10/24/2000)
RR
Maine(11/28/2002)
RR
Massachusetts(10/24/2000)
IAR
Massachusetts(7/13/2021)
RR
Montana(2/11/2025)
RR
New Hampshire(10/24/2000)
IAR
New Hampshire(1/6/2025)
RR
New York(10/24/2000)
RR
Pennsylvania(10/24/2000)
IAR
Pennsylvania(7/5/2022)
RR
Rhode Island(11/14/2000)
RR
South Carolina(1/17/2020)
RR
Vermont(6/12/2001)
IAR
Vermont(6/22/2021)
RR
Virginia(10/25/2000)
RR
Washington(9/2/2009)
RR
Wisconsin(5/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WESTMINSTER FINANCIAL ADVISORY CORP
CRD#: 110283West Hartford, CT 06110TRUST BUT VERIFY
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Contact information
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