James Baumgardner
CFP®Professional Summary
James Baumgardner, CFP®, who also goes by James Michael Baumgardner, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Timnath, Colorado and FIDELITY BROKERAGE SERVICES LLC located in Fort Collins, Colorado. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. James has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Investment Planning
- Retirement Income Management
- Retirement Planning
- Employee and Employer Plan Benefits
- Comprehensive Financial Planning
- Insurance Planning
Biography
As a Certified Financial Planner<sup>®</sup> and Financial Consultant with Fidelity Investments, I find passion and joy in helping high net worth individuals and families define success and peace in their financial lives. I believe that financial peace is the gateway to generosity and ultimately a better world for future generations. Having a well defined financial plan is the first step in finding this peace. I look forward to exploring your plans, hopes, and dreams!
Other Aliases
James Michael Baumgardner
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
Website
xxxxxxxxxx.xxx
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Disclosures on record.
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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Credentials
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
Education
University of Colorado
Vocal Performance, Master of Music
Vocal Performance, Master of Music
2011
Colorado State University
Music Education, Bachelor of Music
Music Education, Bachelor of Music
2009
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Current Firm
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
Contact Information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698Phone Number
(617) 563-7000# of Employees
17,112SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,973,512AUM (Assets Under Management)
$1,370,125,325,211Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/21/2026 | Cover Page | Report |
| 09/24/2025 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
State Registrations and Notice Filings
(3/2/2017)
(1/27/2017)
(3/31/2025)
(8/13/2021)
(3/31/2025)
(3/2/2017)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Baumgardner's CRS (Customer Relationship Summary).
Services Offered by James
- Investment Planning
- Retirement Income Management
- Retirement Planning
- Employee and Employer Plan Benefits
- Comprehensive Financial Planning
- Insurance Planning
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