James S. Baudreau

GREAT PLANS CAPITAL MANAGEMENT

CARY, NC 27511

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CRD#: 1870111

Professional summary

James Stephen Baudreau is a registered financial advisor currently at GREAT PLANS CAPITAL MANAGEMENT, LLC located in Cary, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 14 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

ADAM Financial Group - INSURANCE SALES; INVESTMENT-RELATED; RALEIGH, NC; INSURANCE AGENT; 2020; APPROX. 20 HRS/MO DURING TRADING HOURS; SELLING FIXED INSURANCE PRODUCTS INCLUDING GROUP HEALTH AND DENTAL PLANS FOR COMMISSION. Myriad Vending NC LLC - VENDING MACHINE OPERATION; NOT INVESTMENT-RELATED; RALEIGH, NC; 1988; APPROX. 12 HOURS/MO OUTSIDE TRADING HOURS; OPERATING/MANAGING VENDING MACHINES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stephen Baudreau'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®

None

Experience

Current

May 8, 2023 - Present

GREAT PLANS CAPITAL MANAGEMENT, LLC

Office #1: 219 E Chatham St Suite 203, Cary, NC 27511

RIA

CRD#: 127717

CARY, NC

Past

October 15, 2020 - March 23, 2023

FOUNDATIONS INVESTMENT ADVISORS LLC

RIA

CRD#: 175083

RALEIGH, NC

Past

June 29, 2016 - September 25, 2020

FIRST ADVISORS NATIONAL, LLC

RIA

CRD#: 166212

Raleigh, NC

Past

May 10, 2014 - October 30, 2015

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

RALEIGH, NC

Past

May 15, 2008 - June 2, 2010

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

January 18, 2008 - May 14, 2008

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

CHARLOTTE, NC

Past

September 8, 2004 - January 30, 2008

OSAIC WEALTH, INC.

RIA

CRD#: 23131

RALEIGH, NC

Past

August 2, 2004 - January 30, 2008

OSAIC WEALTH, INC.

CRD#: 23131

RALEIGH, NC

Past

February 9, 2002 - August 25, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

RALEIGH, NC

Past

July 6, 2001 - August 25, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

November 18, 1994 - July 2, 2001

TOWNSEND FINANCIAL SERVICES CORP.

CRD#: 24684

RALEIGH, NC

Past

September 18, 1992 - September 20, 1994

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

RALEIGH, NC

Past

February 21, 1991 - August 15, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

February 21, 1991 - August 15, 1991

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 13, 1989 - September 23, 1989

WILLIAM M. CADDEN & CO., INC.

CRD#: 16363

Past

December 22, 1988 - March 28, 1989

MONMOUTH INVESTMENTS, INC.

CRD#: 14047

Past

August 25, 1988 - December 5, 1988

GREENTREE SECURITIES CORP.

CRD#: 7372

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

North Carolina
(5/8/2023)

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: 5/9/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/13/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Current Firm

GREAT PLANS CAPITAL MANAGEMENT, LLC

CRD#: 127717 / SEC#:

New Jersey

Registered Investment Advisory firm - (12/13/2024 Terminated)

North Carolina

Registered Investment Advisory firm - (6/1/2007 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

219 E Chatham St Suite 203, Cary, NC 27511

Mailing Address

Phone number

(919) 777-8481

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 9,272,380

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.

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Advisor Monitoring

Firm Stability Insights

James S. Baudreau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Stephen Baudreau's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOUNDATIONS INVESTMENT ADVISORS LLC

FIRST ADVISORS NATIONAL, LLC

REGAL INVESTMENT ADVISORS LLC

SOUTHEAST INVESTMENTS, N.C., INC.

SOUTHEAST INVESTMENTS, N.C., INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TOWNSEND FINANCIAL SERVICES CORP.

CAPITAL INVESTMENT GROUP, INC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

WILLIAM M. CADDEN & CO., INC.

MONMOUTH INVESTMENTS, INC.

GREENTREE SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/9/2014

Series 66

Date: 12/13/2001

Series 63

Date: 9/8/1988

Series 7

Date: 8/20/1988

Current Firm

GREAT PLANS CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GREAT PLANS CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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