James F. Marshall

JM ADVISORS

ALBANY, NY 12205

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CRD#: 2022178

Professional summary

James Francis Marshall JR is a registered financial advisor currently at JM ADVISORS, LLC located in Albany, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. James has worked at 4 firms and has passed the Series 65, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Marshall JR'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 21, 2012 - Present

JM ADVISORS, LLC

Office #1: 125 Wolf Road Suite 203, Albany, NY 12205

RIA

CRD#: 159351

ALBANY, NY

Past

January 25, 2010 - June 14, 2010

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

LATHAM, NY

Past

December 9, 1994 - November 25, 2008

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

LATHAM, NY

Past

January 25, 1990 - December 9, 1994

MERCER ALLIED CORPORATION

CRD#: 7829

ALBANY, NY

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

New York
(3/29/2021)

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: 6/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Current Firm

JM ADVISORS, LLC

CRD#: 159351 / SEC#:

Massachusetts

Registered Investment Advisory firm - (10/18/2022 Terminated)

New Hampshire

Registered Investment Advisory firm - (10/18/2022 Terminated)

New York

Registered Investment Advisory firm - (1/6/2012 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

125 Wolf Road Suite 203, Albany, NY 12205

Mailing Address

Po Box 3743, Albany, NY 12203

Phone number

(518) 218-1224

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

James F. Marshall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Francis Marshall JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

JM ADVISORS, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

MERCER ALLIED COMPANY, L.P.

MERCER ALLIED CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 6/6/1992

Series 63

Date: 3/3/1990

Series 7

Date: 1/20/1990

Current Firm

JM ADVISORS, LLC

Contact information

Documents

Red Flags

Company Information

JM ADVISORS, LLC

TRUST BUT VERIFY

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