JM
James Mahoney
INVESTMARK ADVISORY GROUP LLC
GLASTONBURY, CT 06033
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CRD#: 4606032
JM
Professional summary
James Mahoney is a registered financial advisor currently at INVESTMARK ADVISORY GROUP LLC located in Glastonbury, Connecticut and COMMONWEALTH FINANCIAL NETWORK located in Glastonbury, Connecticut.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
1. MAHONEY SABOL & CO. LLP, CPA FIRM, AS CPA FIRM-PARTNER, 50% OWNER AND TRUSTEE OF COMPANY 401K, NON-INVESTMENT RELATED.
2. SELLING FIXED INSURANCE PRODUCTS, INVESTMENT RELATED.
3. ESSEX CAPITAL ADVISORS, LLC, CO-OWNER WITH SPOUSE, PRIVATE ENTITY CREATED TO OPERATING SECURITIES BUSINESS, INVESTMENT RELATED.
4. APPROX 5% OF IARS TIME IS DEVOTED TO BEING AN IAR OF Investmark Advisory Group, LLC, PROVIDING FINANCIAL PLANNING/CONSULTING & ASSET MANAGEMENT SERVICES - INVESTMENT RELATED
5.COMMONWEALTH FINANCIAL NETWORK; REGISTERED REP;INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view James Mahoney'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 29, 2008 - Present
INVESTMARK ADVISORY GROUP LLC
Office #1: 180 Glatonbury Boulevard Suite 400, Glastonbury, CT 06033RIA
CRD#: 121060
GLASTONBURY, CT
Current
June 11, 2003 - Present
COMMONWEALTH FINANCIAL NETWORK
Office #1: 180 Glastonbury Boulevard Suite 400, Glastonbury, CT 06033RIA
BD
CRD#: 8032
Glastonbury, CT
Past
November 27, 2007 - January 29, 2008
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
GLASTONBURY, CT
Past
December 13, 2002 - May 28, 2003
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, 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".
IA
INVESTMARK ADVISORY GROUP LLC
INVESTMARK ADVISORY GROUP LLC | INVESTMARK ADVISORY SERVICES, INC.
CRD#: 121060 / SEC#: 801-76505
RIA
Registered Investment Advisory firm - (4/23/2012 Approved)Connecticut
Registered Investment Advisory firm - (5/8/2012 Terminated)Florida
Registered Investment Advisory firm - (5/8/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (5/8/2012 Terminated)New Jersey
Registered Investment Advisory firm - (5/7/2012 Terminated)New York
Registered Investment Advisory firm - (5/8/2012 Terminated)Texas
Registered Investment Advisory firm - (5/8/2012 Terminated)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(6/11/2003)
IAR
Connecticut(1/29/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESTMARK ADVISORY GROUP LLC
INVESTMARK ADVISORY GROUP LLC | INVESTMARK ADVISORY SERVICES, INC.
CRD#: 121060 / SEC#: 801-76505
RIA
Registered Investment Advisory firm - (4/23/2012 Approved)Connecticut
Registered Investment Advisory firm - (5/8/2012 Terminated)Florida
Registered Investment Advisory firm - (5/8/2012 Terminated)Massachusetts
Registered Investment Advisory firm - (5/8/2012 Terminated)New Jersey
Registered Investment Advisory firm - (5/7/2012 Terminated)New York
Registered Investment Advisory firm - (5/8/2012 Terminated)Texas
Registered Investment Advisory firm - (5/8/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3 Enterprise Drive Fourth Floor, Shelton, CT 06484
Mailing Address
Phone number
(203) 953-3777
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,863 |
| AUM (Assets Under Management) | $ 812,207,175 |
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.
