James J. Tavares

MISSIONSQUARE RETIREMENT

WETHERSFIELD, CT

Some features on this profile are disabled

CRD#: 6447693

Professional summary

James Jorge Martin Tavares, who also goes by Jim Jorge Martin Tavares, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Wethersfield, Connecticut and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 6 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Jorge Martin 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.

Name: Pine Acres Club Inc. Non-investment related. Nature of Business: Acres Swim & Tennis Club. Address: 196 Western Blvd, Wethersfield, CT 06109. Position: President. Start Date: 10/01/2021. Number of hours per month devoted to other business 9; during securities trading hours 0. Duties: Oversee board of directors and general operation of the club.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Jorge Martin Tavares'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

October 13, 2023 - Present

MISSIONSQUARE RETIREMENT

RIA

CRD#: 108783

WETHERSFIELD, CT

Current

October 13, 2023 - Present

MISSIONSQUARE INVESTMENT SERVICES

Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240

CRD#: 23189

Washington, DC

Past

July 1, 2019 - February 2, 2023

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

Glastonbury, CT

Past

December 11, 2017 - March 4, 2019

APELLA WEALTH

RIA

CRD#: 171106

GLASTONBURY, CT

Past

December 11, 2017 - February 2, 2023

SYMMETRY PARTNERS

RIA

CRD#: 120982

GLASTONBURY, CT

Past

March 11, 2015 - November 17, 2016

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

NORTH HAVEN, 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".

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 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.

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

Connecticut
(10/13/2023)

IAR

Connecticut
(10/13/2023)

IAR

Delaware
(12/5/2024)

Maine
(12/6/2024)

IAR

Maine
(12/6/2024)

IAR

Maryland
(12/2/2024)

IAR

New Hampshire
(12/4/2024)

IAR

New Jersey
(11/29/2024)

IAR

New York
(10/13/2023)

IAR

Ohio
(11/29/2024)

IAR

Pennsylvania
(12/2/2024)

IAR

Rhode Island
(11/29/2024)

IAR

Vermont
(12/2/2024)

IAR

West Virginia
(12/3/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/20/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/11/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 7/1/2019

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 11/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/11/2015

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

CRD#: 108783 / SEC#: 801-18273

RIA

Registered Investment Advisory firm - (1/19/1983 Approved)

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

777 North Capitol Street Ne, Suite 600, Washington, DC 20002-4240

Mailing Address

Phone number

(202) 962-4600

Established

Firm type

Fiscal year end

# of Employees

599

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GUIDED PATHWAYS ADVISORY SERVICES (10/30/2025)

INSURANCE CONTRACT SEPARATE ACCOUNT ADVISORY SERVICES (3/31/2025)

INSTITUTIONAL ASSET ALLOCATION ADVISORY SERVICES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	58,580
AUM (Assets Under Management)	$ 5,959,398,729

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

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 Jorge Martin Tavares's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISSIONSQUARE INVESTMENT SERVICES

FORESIDE FINANCIAL SERVICES, LLC

APELLA WEALTH

SYMMETRY PARTNERS

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

MISSIONSQUARE RETIREMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 12/20/2019

Series 65

Date: 12/11/2017

Series 6TO

Date: 7/1/2019

SIE

Date: 11/17/2016

Series 6

Date: 3/11/2015

FINRA

Current Firm

MISSIONSQUARE RETIREMENT

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MISSIONSQUARE RETIREMENT

TRUST BUT VERIFY

Similar Advisors