James W. Hawes
Professional summary
James William Hawes, CIMA®, who also goes by Jamie Hawes, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in Hingham, Massachusetts and NYLIFE DISTRIBUTORS LLC located in Hingham, Massachusetts.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James William Hawes's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2002 - Present
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
May 26, 1999 - Present
NYLIFE DISTRIBUTORS LLC
April 17, 1996 - December 7, 2001
NYLIFE SECURITIES LLC
September 17, 1993 - March 25, 1996
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/10/2016)
(6/22/2001)
(6/19/2001)
(5/22/2002)
(11/7/2023)
(11/7/2023)
(6/19/2001)
(9/8/2022)
(8/10/2016)
(9/8/2022)
(11/7/2023)
Exams
FINRA
Current Firm
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
CRD#: 109591 / SEC#: 801-57396
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,047 |
| AUM (Assets Under Management) | $ 113,162,976,263 |
Red Flags
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