James J. Devico

MOUNTAIN PASS PLANNING

Hopewell Junction, NY 12533

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CRD#: 5405659

Professional summary

James John Devico JR., who also goes by James John Devico, is a registered financial advisor currently at MOUNTAIN PASS PLANNING located in Hopewell Junction, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. 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

James John Devico

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. Member of PFC Real Estate Holdings, LLC, PFC Glenwood, LLC, and Glenwood Real Estate Holdings LLC, and PFC South Park LLC. These entities own multi-family residential apartments. This activity accounts for approximately 10 hours per month. 2. Licensed to sell life insurance products. This activity accounts for approximately 10 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Devico JR.'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

July 18, 2021 - Present

MOUNTAIN PASS PLANNING

Office #1: 2537 Rt 52, Suite 1 Building 3, Hopewell Junction, NY 12533

RIA

CRD#: 283389

Hopewell Junction, NY

Past

February 1, 2012 - June 14, 2016

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

YORKTOWN HEIGHTS, NY

Past

October 20, 2011 - June 14, 2016

CADARET, GRANT & CO., INC.

CRD#: 10641

YORKTOWN HEIGHTS, NY

Past

May 11, 2009 - November 1, 2011

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

January 28, 2009 - November 1, 2011

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

MOUNTAIN PASS PLANNING

MOUNTAIN PASS PLANNING | MOUNTAIN PASS PLANNING CORPORATION

CRD#: 283389 / SEC#: 801-121541

RIA

Registered Investment Advisory firm - (6/16/2021 Approved)

New York

Registered Investment Advisory firm - (7/7/2021 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

New York
(7/18/2021)

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 66

Date: 4/6/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2009

General Securities Representative Examination

Current Firm

MOUNTAIN PASS PLANNING

MOUNTAIN PASS PLANNING | MOUNTAIN PASS PLANNING CORPORATION

CRD#: 283389 / SEC#: 801-121541

RIA

Registered Investment Advisory firm - (6/16/2021 Approved)

New York

Registered Investment Advisory firm - (7/7/2021 Terminated)

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Contact information

Main Address

2537 Rt 52, Suite 1 Building 3, Hopewell Junction, NY 12533

Mailing Address

Phone number

(845) 592-0789

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	242
AUM (Assets Under Management)	$ 67,531,703

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 J. Devico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James John Devico JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

MOUNTAIN PASS PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2009

SIE

Date: 6/14/2016

Series 7

Date: 1/27/2009

Current Firm

MOUNTAIN PASS PLANNING

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOUNTAIN PASS PLANNING

TRUST BUT VERIFY

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