James R. Jasinski

CAPE ANN CAPITAL

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CRD#: 2571023

Professional summary

James Ralph Jasinski, CFP®, who also goes by James R Jasinski, Jim Jasinski, is a registered financial advisor currently at CAPE ANN CAPITAL, INC. .

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 7 firms and has passed the Series 66, Series 63, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James R Jasinski | Jim Jasinski

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 Ralph Jasinski'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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

June 14, 2010 - Present

CAPE ANN CAPITAL, INC.

RIA

CRD#: 128942

Past

October 23, 2007 - May 13, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

BOSTON, MA

Past

October 17, 2005 - October 11, 2007

AVONDALE PARTNERS, LLC

CRD#: 46838

BOSTON, MA

Past

July 23, 2003 - October 13, 2005

AGC PARTNERS

CRD#: 125958

BOSTON, MA

Past

September 28, 1999 - July 14, 2003

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

August 1, 1996 - September 13, 1999

JONESTRADING

CRD#: 6888

THOUSAND OAKS, CA

Past

April 25, 1995 - August 28, 1996

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

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".

CAPE ANN CAPITAL, INC.

CRD#: 128942 / SEC#: 801-66982

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Massachusetts

Registered Investment Advisory firm - (12/7/2006 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
(6/14/2010)

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 66

Date: 11/6/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 8/23/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/6/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/24/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/3/2004

General Securities Principal Examination

Current Firm

CAPE ANN CAPITAL, INC.

CRD#: 128942 / SEC#: 801-66982

RIA

Registered Investment Advisory firm - (7/5/2006 Approved)

Massachusetts

Registered Investment Advisory firm - (12/7/2006 Terminated)

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Contact information

Main Address

22 Grove Street, Concord, MA 01742-1509

Mailing Address

Phone number

(978) 254-5841

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

CAPE ANN CAPITAL, INC. (3/27/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 198,794,469

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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James R. Jasinski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Ralph Jasinski's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

AVONDALE PARTNERS, LLC

AGC PARTNERS

CANACCORD GENUITY LLC

JONESTRADING

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

Primary Firm SEC Registration

CAPE ANN CAPITAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2007

Series 63

Date: 9/6/1995

Series 55

Date: 8/23/2003

Series 7

Date: 3/6/1996

Series 6

Date: 4/24/1995

Series 24

Date: 4/3/2004

Current Firm

CAPE ANN CAPITAL, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPE ANN CAPITAL, INC.

TRUST BUT VERIFY

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