James M. Birks

BIRKS FINANCIAL

MCLEAN, VA 22102

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CRD#: 2216533

Professional summary

James Michael Birks MR., who also goes by James M Birks, is a registered financial advisor currently at BIRKS FINANCIAL CORP. located in Mclean, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 3 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James M Birks

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.

I AM AN AGENT FOR VARIOUS INSURANCE COMPANIES INCLUDING SIGNATOR INSURANCE AGENCY (JOHN HANCOCK LIFE INSURANCE COMPANY) SINCE 07/1989. AS AN INSURANCE AGENT MY DUTIES INCLUDE SELLING INSURANCE PRODUCTS FOR A SALES COMMISION. THESE ACTIVITIES CONSUME 80 HOURS A MONTH (4 HOURS A DAY) AND ARE NOT INVESTMENT RELATED. THE ADDRESS IS 1749 OLD MEADOW RD., SUITE 100, MCLEAN, VA 22102. INSURANCE BROKER

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CRS (Client Relationship Summary) - RIA

Click below to view James Michael Birks MR.'s CRS (Customer Relationship Summary).

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 24, 1996 - Present

BIRKS FINANCIAL CORP.

Office #1: 1749 Old Meadow Rd. Suite 100, Mclean, VA 22102

RIA

CRD#: 118623

MCLEAN, VA

Past

March 6, 2003 - May 1, 2006

SIGNATOR INVESTORS, INC.

CRD#: 468

HERNDON, VA

Past

April 21, 1992 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 21, 1992 - September 19, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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".

BIRKS FINANCIAL CORP.

BIRKS FINANCIAL ADVISORS LLC | BIRKS FINANCIAL CORPORATION | BIRKS FINANCIAL CORP. | BIRKS FINANCIAL ADVISORS, L.L.C.

CRD#: 118623 / SEC#: 801-114987

RIA

Registered Investment Advisory firm - (4/11/2019 Approved)

Virginia

Registered Investment Advisory firm - (5/3/2019 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).

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

Massachusetts
(5/25/2021)

IAR

Virginia
(9/24/1996)

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

Series 63

Date: 3/15/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/3/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 2/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/3/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BIRKS FINANCIAL CORP.

BIRKS FINANCIAL ADVISORS LLC | BIRKS FINANCIAL CORPORATION | BIRKS FINANCIAL CORP. | BIRKS FINANCIAL ADVISORS, L.L.C.

CRD#: 118623 / SEC#: 801-114987

RIA

Registered Investment Advisory firm - (4/11/2019 Approved)

Virginia

Registered Investment Advisory firm - (5/3/2019 Terminated)

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Contact information

Main Address

431-a Carlisle Drive, Herndon, VA 20170

Mailing Address

Phone number

(703) 481-6202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BIRK FINANCIAL ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	551
AUM (Assets Under Management)	$ 236,316,876

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.

Contact information

xxxxx@xxxx.xxx

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James M. Birks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Birks MR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

BIRKS FINANCIAL CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2003

Series 65

Date: 9/3/1996

Series 7

Date: 2/1/2005

Series 6

Date: 3/3/2003

Current Firm

BIRKS FINANCIAL CORP.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BIRKS FINANCIAL CORP.

TRUST BUT VERIFY

Contact information

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