James T. Marsh

TAVCO FINANCIAL ADVISORY,

Fitzgerald, GA

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CRD#: 2150368

Professional summary

James Thomas Marsh, who also goes by Tom Marsh, is a registered financial advisor currently at TAVCO FINANCIAL ADVISORY, INC located in Fitzgerald, Georgia and THE TAVENNER COMPANY located in Springfield, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Marsh

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 Thomas Marsh'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

March 16, 2020 - Present

TAVCO FINANCIAL ADVISORY, INC

RIA

CRD#: 290084

Fitzgerald, GA

Current

January 16, 2020 - Present

THE TAVENNER COMPANY

Office #1: 4910 Old Mechanicsburg Rd., Springfield, OH 45502

CRD#: 18004

SPRINGFIELD, OH

Past

January 2, 2018 - January 9, 2020

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

Fitzgerald, GA

Past

January 2, 2018 - January 9, 2020

KOVACK SECURITIES INC.

CRD#: 44848

Fitzgerald, GA

Past

February 28, 2003 - December 31, 2017

W.H. COLSON & ASSOCIATES, INC.

RIA

CRD#: 117309

FITZGERALD, GA

Past

July 24, 2002 - December 31, 2017

W. H. COLSON SECURITIES, INC.

CRD#: 117789

GREENVILLE, NC

Past

January 7, 2002 - July 23, 2002

NORTHEAST SECURITIES, LLC

CRD#: 25996

MITCHELFIELD, NY

Past

July 8, 1999 - December 31, 2001

INVESTORS CAPITAL CORP.

CRD#: 30613

LYNNFIELD, MA

Past

March 1, 1996 - April 21, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 5, 1991 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

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.

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

Georgia
(1/16/2020)

IAR

Georgia
(3/16/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/2/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/2/1991

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

CRD#: 290084 / SEC#:

Georgia

Registered Investment Advisory firm - (1/18/2019 Approved)

Kentucky

Registered Investment Advisory firm - (1/26/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (12/31/2025 Termination Requested)

Missouri

Registered Investment Advisory firm - (12/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (11/16/2017 Approved)

Virginia

Registered Investment Advisory firm - (12/8/2023 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

4910 Old Mechanicsburg Rd, Springfield, OH 45502

Mailing Address

Phone number

(937) 399-8415

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 3,914,269

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 T. Marsh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Marsh's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE TAVENNER COMPANY

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

W.H. COLSON & ASSOCIATES, INC.

W. H. COLSON SECURITIES, INC.

NORTHEAST SECURITIES, LLC

INVESTORS CAPITAL CORP.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1999

Series 63

Date: 8/2/1991

SIE

Date: 10/1/2018

Series 6

Date: 8/2/1991

FINRA

Current Firm

TAVCO FINANCIAL ADVISORY, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAVCO FINANCIAL ADVISORY, INC

TRUST BUT VERIFY

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