James W. Vassas

CAIRN INVESTOR SERVICES

MYRTLE BEACH, SC

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CRD#: 4487594

Professional summary

James Warren Vassas JR, CFP® is a registered financial advisor currently at CAIRN INVESTOR SERVICES located in Myrtle Beach, South Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

SALE OF FIXED INSURANCE PRODUCTS. FIXED LIFE, ANNUITY, AND HEALTH AND FIXED INDEX ANNUITIES. 15 HOURS PER WEEK (2 DURING TRADING).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Warren Vassas 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®

CFP^®

Certified Financial Planner

Experience

Current

March 10, 2016 - Present

CAIRN INVESTOR SERVICES

RIA

CRD#: 282853

MYRTLE BEACH, SC

Past

December 10, 2013 - January 26, 2016

SPC

RIA

CRD#: 110692

MARLTON, NJ

Past

December 9, 2013 - January 26, 2016

PARKLAND SECURITIES, LLC

CRD#: 115368

MARLTON, NJ

Past

February 26, 2007 - December 9, 2013

BCG SECURITIES, INC.

RIA

CRD#: 70

EATONTOWN, NJ

Past

February 2, 2007 - December 9, 2013

BCG SECURITIES, INC.

CRD#: 70

CHERRY HILL, NJ

Past

January 7, 2002 - January 29, 2007

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

FAIRFIELD, NJ

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

California
(3/10/2016)

IAR

New Jersey
(3/16/2016)

IAR

South Carolina
(6/30/2024)

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: 2/20/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/11/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/5/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CAIRN INVESTOR SERVICES

CAIRN INVESTOR SERVICES | VASSAS JR., JAMES W

CRD#: 282853 / SEC#:

California

Registered Investment Advisory firm - (3/10/2016 Approved)

New Jersey

Registered Investment Advisory firm - (3/16/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/14/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (6/30/2024 Approved)

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).

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Contact information

Main Address

Myrtle Beach, SC

Mailing Address

Phone number

(843) 293-0007

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 1,862,921

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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Firm Stability Insights

James W. Vassas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Warren Vassas JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

PARKLAND SECURITIES, LLC

BCG SECURITIES, INC.

BCG SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/20/2007

Series 63

Date: 3/11/2002

SIE

Date: 1/26/2016

Series 7

Date: 6/1/2005

Series 6

Date: 1/5/2002

Current Firm

CAIRN INVESTOR SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CAIRN INVESTOR SERVICES

TRUST BUT VERIFY

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