James A. Thibault

BARRON FINANCIAL GROUP, LLP

Torrington, CT 06790

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CRD#: 4837211

Professional summary

James Alfred Thibault, CFP®, who also goes by Ja Mes Alfred Thibault, is a registered financial advisor currently at BARRON FINANCIAL GROUP, LLP located in Torrington, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ja Mes Alfred Thibault

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) INVESTMENT COMMITTEE; COMMUNITY FOUNDATION OF NORTHWEST CONNECTICUT; PORTFOLIO AND INVESTMENT MANAGEMENT; LOCATED IN TORRINGTON, CT; BEGINNING NOVEMBER 9, 2007; ONE HOUR PER MONTH DURING SECURITIES TRADING HOURS. 2) GOSHEN LAND TRUST, 16 MILL STREET, PO BOX 501, GOSHEN, CT 06756. NOT INVESTMENT-RELATED, President, 6/2015-PRESENT. 5 HRS/MONTH, NONE DURING SECURITIES TRADING HOURS, LAND STRATEGIES, GOVERNANCE, AND FUNDRAISING. 3) TORRINGTON HISTORICAL SOCIETY, 192 MAIN STREET, TORRINGTON, CT 06790. NOT INVESTMENT-RELATED, Vice President4/2021-PRESENT. 4 HRS/MONTH, NONE DURING SECURITIES TRADING HOURS. DUTIES RANGE FROM HELPING REVIEW THE ORGANIZATION'S FINANCIALS AND INVESTMENTS ALONG WITH OTHER ONGOING FIDUCIARY DECISIONS THE BOARD MAKES. 4) John T. & Jane A. Wiederhold Foundation, Non-Investment-related, 33 East Main Street, Torrington, CT 06790, Philanthropy, Trustee, 9/1/2021, One hour per month during trading hours. Fiduciary decisions and governance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alfred Thibault'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: 2009

Experience

Current

June 22, 2006 - Present

BARRON FINANCIAL GROUP, LLP

Office #1: 103 Albert Street, Torrington, CT 06790

RIA

CRD#: 140504

Torrington, CT

Past

March 10, 2006 - October 30, 2017

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

TORRINGTON, CT

Past

October 13, 2004 - February 10, 2006

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

HARTFORD, CT

Past

September 17, 2004 - February 10, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

HARTFORD, CT

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".

BARRON FINANCIAL GROUP, LLP

BARRON FINANCIAL GROUP LLP | BARRON FINANCIAL GROUP, LLP

CRD#: 140504 / SEC#: 801-123451

RIA

Registered Investment Advisory firm - (3/15/2022 Approved)

Connecticut

Registered Investment Advisory firm - (3/28/2022 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

Connecticut
(6/22/2006)

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: 10/7/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/7/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/15/2004

General Securities Representative Examination

Current Firm

BARRON FINANCIAL GROUP, LLP

BARRON FINANCIAL GROUP LLP | BARRON FINANCIAL GROUP, LLP

CRD#: 140504 / SEC#: 801-123451

RIA

Registered Investment Advisory firm - (3/15/2022 Approved)

Connecticut

Registered Investment Advisory firm - (3/28/2022 Terminated)

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Contact information

Main Address

103 Albert Street, Torrington, CT 06790

Mailing Address

Phone number

(860) 489-0432

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A FIRM BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	480
AUM (Assets Under Management)	$ 168,766,517

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 A. Thibault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alfred Thibault's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BARRON FINANCIAL GROUP, LLP

State Registrations and Notice Filings

Exams

Series 65

Date: 10/7/2004

Series 63

Date: 9/21/2004

SIE

Date: 10/30/2017

Series 31

Date: 11/7/2005

Series 7

Date: 9/15/2004

Current Firm

BARRON FINANCIAL GROUP, LLP

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BARRON FINANCIAL GROUP, LLP

TRUST BUT VERIFY

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