James M. Serkes

ORANGE INVESTMENT ADVISORS

Goshen, NY 10924

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CRD#: 4271004

Professional summary

James Matthew Serkes, who also goes by Serkes M James M, James M Serkes, James Serkes, is a registered financial advisor currently at ORANGE INVESTMENT ADVISORS, INC. located in Goshen, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Serkes M James M | James M Serkes | James Serkes

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.

Leo's Tavern; non-investment related;190 7th Street, Garden City, NY 11530; Tavern/Restaurant; Owner; 01/01/19; 2 hours per month of consulting, 0 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Serkes'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

March 18, 2022 - Present

ORANGE INVESTMENT ADVISORS, INC.

Office #1: 117 Grand Street 2nd Floor, Goshen, NY, 10924

RIA

CRD#: 107387

Goshen, NY

Past

April 30, 2012 - July 22, 2020

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

December 2, 2009 - April 16, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

June 30, 2005 - December 10, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 1, 2003 - June 7, 2005

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

October 25, 2000 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

ORANGE INVESTMENT ADVISORS, INC.

HUDSON VALLEY INVESTMENT ADVISORS INC | ORANGE INVESTMENT ADVISORS, INC. | HV CAPITAL MANAGEMENT, INC. | HUDSON VALLEY INVESTMENT ADVISORS, INC.

CRD#: 107387 / SEC#: 801-48913

RIA

Registered Investment Advisory firm - (4/7/1995 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.

Highlighted states indicate IAR registrations

IAR

New York
(3/18/2022)

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 65

Date: 3/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/24/2000

General Securities Representative Examination

Current Firm

ORANGE INVESTMENT ADVISORS, INC.

HUDSON VALLEY INVESTMENT ADVISORS INC | ORANGE INVESTMENT ADVISORS, INC. | HV CAPITAL MANAGEMENT, INC. | HUDSON VALLEY INVESTMENT ADVISORS, INC.

CRD#: 107387 / SEC#: 801-48913

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

117 Grand Street 2nd Floor, Goshen, NY, 10924

Mailing Address

P.o. Box 268, Goshen, NY 10924

Phone number

(845) 294-6127

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II BROCHURE (10/14/2025)

Regulatory assets under management

Total Number of Accounts	2,206
AUM (Assets Under Management)	$ 1,650,937,707

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 M. Serkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Serkes's CRS (Customer Relationship Summary).

Certified licenses

Experience

JEFFERIES LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

ORANGE INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2022

Series 63

Date: 12/21/2000

Series 7TO

Date: 3/18/2024

SIE

Date: 10/1/2018

Series 7

Date: 10/24/2000

Current Firm

ORANGE INVESTMENT ADVISORS, INC.

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ORANGE INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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