James J. Beaulieu

BEAULIEU & ASSOCIATES

Somers, CT 06071

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CRD#: 1914268

Professional summary

James Joel Beaulieu, who also goes by Jim Beaulieu, is a registered financial advisor currently at BEAULIEU & ASSOCIATES, LLC located in Somers, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. James has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Beaulieu

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.

1. INDEPENDENT INSURANCE AGENT SELLING FIXED LIFE, LONG TERM CARE INSURANCE AND FIXED ANNUITIES - 48 SOUTH RD UNIT 15 SOMERS, CT 06071 2. GLJ ENTERPRISES, LLC - 48 SOUTH RD UNIT 15 SOMERS, CT 06071 - NOT INVESTMENT RELATED - REAL ESTATE HOLDING COMPANY - OWNER - 12/2012 - 1 HOUR/ MONTH - MANAGE EMPLOYEE TASKED WITH MANAGING THE PHYSICAL PROPERTY. 3. M-1 PROPERTIES - 48 SOUTH RD UNIT 15 SOMERS, CT 06071 - NOT INVESTMENT RELATED - PARTNERSHIP CONSISTING OF A VACATION CONDO IN SOUTH CAROLINA - PARTNER - 08/2006 - 1 HOUR/ MONTH - MANAGE EMPLOYEE TASKED WITH MANAGING RENTAL AND MAINTENANCE OF PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joel Beaulieu'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

September 26, 2013 - Present

BEAULIEU & ASSOCIATES, LLC

Office #1: 48 South Road Unit 15, Somers, CT 06071

RIA

CRD#: 168829

Somers, CT

Past

September 30, 2013 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

SOMERS, CT

Past

November 4, 1997 - October 8, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOMERS, CT

Past

August 29, 1997 - October 8, 2013

LPL FINANCIAL LLC

CRD#: 6413

SOMERS, CT

Past

March 29, 1995 - September 11, 1997

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

May 26, 1992 - April 7, 1995

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

January 7, 1992 - May 26, 1992

UNITED PACIFIC FINANCIAL SERVICES, INC.

CRD#: 21632

Past

January 9, 1989 - March 23, 1990

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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

Connecticut
(9/26/2013)

IAR

Florida
(2/26/2025)

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: 10/14/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/27/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/6/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/3/1995

General Securities Principal Examination

Current Firm

BEAULIEU & ASSOCIATES, LLC

BEAULIEU & ASSOCIATES, LLC | BEAULIEU FINANCIAL SERVICES, LLC

CRD#: 168829 / SEC#:

Connecticut

Registered Investment Advisory firm - (9/26/2013 Approved)

Florida

Registered Investment Advisory firm - (2/26/2025 Approved)

Massachusetts

Registered Investment Advisory firm - (8/20/2019 Terminated)

Rhode Island

Registered Investment Advisory firm - (12/18/2019 Terminated)

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

48 South Road Unit 15, Somers, CT 06071

Mailing Address

Po Box 565, Somers, CT 06071

Phone number

(860) 749-4138

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	166
AUM (Assets Under Management)	$ 35,500,000

Red Flags

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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 J. Beaulieu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joel Beaulieu's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FSC SECURITIES CORPORATION

WALL STREET ACCESS

UNITED PACIFIC FINANCIAL SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1997

Series 63

Date: 5/27/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/1992

Series 6

Date: 1/6/1989

Series 24

Date: 7/3/1995

Current Firm

BEAULIEU & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BEAULIEU & ASSOCIATES, LLC

TRUST BUT VERIFY

Contact information

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