JB
James H. Beam
TD PRIVATE CLIENT WEALTH LLC
Marlton, NJ 08053
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CRD#: 4274924
JB
Professional summary
James Henry Beam JR., who also goes by James H Beam Jr, James H Beam, James Henry Beam Jr, Jim Beam, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Marlton, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 31 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James H Beam Jr | James H Beam | James Henry Beam Jr | Jim Beam
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Henry Beam JR.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Henry Beam JR.'s 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®
NoneExperience
Current
January 16, 2014 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Current
December 23, 2013 - Present
TD PRIVATE CLIENT WEALTH LLC
Office #1: 336 Route 70 East 2nd Floor, Marlton, NJ 08053RIA
BD
CRD#: 164484
Marlton, NJ
Past
June 20, 2007 - December 31, 2008
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
PITTSBURGH, PA
Past
August 9, 2004 - May 15, 2006
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
MOORESTOWN, NJ
Past
August 9, 2004 - May 15, 2006
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
MOORESTOWN, NJ
Past
December 2, 2002 - July 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PENNINGTON, NJ
Past
April 23, 2002 - July 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 31, 2001 - March 4, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
California(7/9/2019)
IAR
California(7/10/2019)
RR
Connecticut(10/9/2015)
IAR
Connecticut(10/9/2015)
RR
Delaware(10/9/2015)
IAR
Delaware(10/9/2015)
RR
Florida(2/12/2014)
IAR
Florida(2/13/2014)
RR
Georgia(8/29/2019)
IAR
Georgia(9/3/2019)
RR
Maine(10/9/2015)
IAR
Maine(10/9/2015)
RR
Maryland(10/9/2015)
IAR
Maryland(10/9/2015)
RR
New Hampshire(10/9/2015)
IAR
New Hampshire(10/9/2015)
RR
New Jersey(1/17/2014)
IAR
New Jersey(1/24/2014)
RR
New York(6/20/2014)
IAR
New York(8/5/2021)
RR
North Carolina(10/9/2015)
IAR
North Carolina(10/9/2015)
RR
Ohio(3/20/2014)
IAR
Ohio(3/20/2014)
RR
Pennsylvania(1/16/2014)
IAR
Pennsylvania(1/16/2014)
RR
Rhode Island(10/9/2015)
IAR
Rhode Island(10/9/2015)
RR
South Carolina(10/9/2015)
IAR
South Carolina(10/9/2015)
RR
Texas(6/10/2014)
IAR
Texas(6/10/2014)
RR
Virginia(10/9/2015)
IAR
Virginia(10/9/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TD PRIVATE CLIENT WEALTH LLC
TD PRIVATE CLIENT WEALTH LLC
CRD#: 164484 / SEC#: 801-77771, 8-69105
RIA
Registered Investment Advisory firm - SEC (4/11/2013 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017
Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017
Phone number
(877) 703-9896
Established
Delaware since 07/13/2012
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
662
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 17,824 |
| AUM (Assets Under Management) | $ 6,450,375,507 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | ||
| 09/27/2024 | ||
| 06/27/2023 | ||
| 12/21/2022 |
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.
