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JM

James E. Maulfair

THE BALDWIN GROUP WEALTH ADVISORS
LEESBURG, VA 20175
Some features on this profile are disabled
CRD#: 4903901
JM

Professional summary

James E Maulfair is a registered financial advisor currently at THE BALDWIN GROUP WEALTH ADVISORS, LLC located in Leesburg, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
Business Name: TOWN COUNCIL MEMBER - ROUND HILL, VA POS: councilmember NOB: town government INV REL: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 57 Main St, Round Hill VA 20141 DESC: town governance Business Name: 1756 LONG LEVEL ROAD, LLC POS: agent/owner NOB: Real Estate INV REL: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 09/26/2024 ADDRESS: 1756 Long Level Road, Wrightsville PA 17368 DESC: maintain vacation home

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James E Maulfair'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

January 22, 2025 - Present

THE BALDWIN GROUP WEALTH ADVISORS, LLC

Office #1: 20 S. King Street, Leesburg, VA 20175
RIA
CRD#: 312284
LEESBURG, VA
Past

May 5, 2016 - January 14, 2025

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
Seattle, WA
Past

August 12, 2014 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
Leesburg, VA
Past

August 12, 2014 - January 14, 2025

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
Leesburg, VA
Past

November 24, 2008 - August 12, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
LEESBURG, VA
Past

November 24, 2008 - August 12, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
LEESBURG, VA
Past

September 25, 2006 - November 24, 2008

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
LEESBURG, VA
Past

February 23, 2005 - November 24, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
LEESBURG, VA

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".
TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA
Registered Investment Advisory firm - (2/26/2021 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
Virginia
(1/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/2005
General Securities Representative Examination

Current Firm

TB
THE BALDWIN GROUP WEALTH ADVISORS, LLC
BURNHAM GIBSON WEALTH ADVISORS, LLC | THE BALDWIN GROUP WEALTH ADVISORS, LLC | THE BALDWIN GROUP

CRD#: 312284 / SEC#: 801-120404

RIA
Registered Investment Advisory firm - (2/26/2021 Approved)
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Contact information

Main Address
4211 W. Boy Scout Blvd. Suite 800, Tampa, FL 33607
Mailing Address
Phone number
(813) 934-2743
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE BALDWIN GROUP WEALTH ADVISORS, LLC ADV P2A 03.26.2025 (4/9/2025)

Regulatory assets under management

Total Number of Accounts2,356
AUM (Assets Under Management)$ 21,043,141,324

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.

Company Information

THE BALDWIN GROUP WEALTH ADVISORS, LLC

CRD#: 312284Leesburg, VA 20175

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