James J. Tavares

LODESTAR WEALTH

PROVIDENCE, RI 02903

Some features on this profile are disabled

CRD#: 5181280

Professional summary

James J Tavares III, who also goes by James J Tavares, is a registered financial advisor currently at LODESTAR WEALTH, LLC located in Providence, Rhode Island.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James J Tavares

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.

I help support a startup healthcare financial technology firm of which I receive no commission or any other form of compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James J Tavares III'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®

None

Experience

Current

July 20, 2022 - Present

LODESTAR WEALTH, LLC

Office #1: 225 Dyer Street, Providence, RI 02903

RIA

CRD#: 308028

PROVIDENCE, RI

Past

May 24, 2016 - November 3, 2020

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

September 2, 2010 - January 14, 2015

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

October 9, 2006 - August 18, 2010

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Massachusetts
(7/20/2022)

IAR

Rhode Island
(12/2/2022)

IAR

Texas
(12/6/2022)

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: 6/17/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/28/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/11/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/22/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LODESTAR WEALTH, LLC

LODESTAR WEALTH PUBLIC BENEFIT, LLC | LODESTAR WEALTH, LLC

CRD#: 308028 / SEC#:

Massachusetts

Registered Investment Advisory firm - (8/5/2020 Approved)

Rhode Island

Registered Investment Advisory firm - (8/13/2021 Approved)

Texas

Registered Investment Advisory firm - (6/4/2021 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

225 Dyer Street, Providence, RI 02903

Mailing Address

Phone number

(617) 386-2055

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	142
AUM (Assets Under Management)	$ 20,211,466

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.

Similar Advisors

David Loughlin

CITIZENS SECURITIES, INC.

IAR

WARWICK, RI

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James J. Tavares

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James J Tavares III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LODESTAR WEALTH, LLC

QUASAR DISTRIBUTORS, LLC

NATIXIS DISTRIBUTION, LLC

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/2022

Series 63

Date: 7/28/2006

SIE

Date: 10/1/2018

Series 7

Date: 3/11/2010

Series 6

Date: 7/22/2006

Current Firm

LODESTAR WEALTH, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LODESTAR WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors