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JH

James W. Hawes

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
Hingham, MA
Some features on this profile are disabled
CRD#: 2303899
JH

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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jamie Hawes

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 William Hawes'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

May 22, 2002 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
Hingham, MA
Current

May 26, 1999 - Present

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
Hingham, MA
Past

April 17, 1996 - December 7, 2001

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY
Past

September 17, 1993 - March 25, 1996

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

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".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)

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.
RR
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

RR
Connecticut
(8/10/2016)
RR
Maine
(6/22/2001)
RR
Massachusetts
(6/19/2001)
IAR
Massachusetts
(5/22/2002)
RR
Michigan
(11/7/2023)
RR
Minnesota
(11/7/2023)
RR
New Hampshire
(6/19/2001)
RR
New York
(9/8/2022)
RR
Rhode Island
(8/10/2016)
RR
Texas
(9/8/2022)
RR
Washington
(11/7/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/14/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/15/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/10/2025
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)
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Contact information

Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts1,047
AUM (Assets Under Management)$ 113,162,976,263

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.

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591Hingham, MA

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