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JM

James C. Maynard

WASHINGTON TRUST ADVISORS
Westerly, RI 02891
Some features on this profile are disabled
CRD#: 6916072
JM

Professional summary

James Caldwell Maynard, who also goes by James Caldwell Maynard, is a registered financial advisor currently at WASHINGTON TRUST ADVISORS located in Westerly, Rhode Island.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. James has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James Caldwell Maynard

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.
Slater Technology Fund; non-investment related; Providence, RI; Board Member for non-profit seed fund dedicated to supporting new venture development in RI; no more than 2% of time per month, none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Caldwell Maynard'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

February 26, 2025 - Present

WASHINGTON TRUST ADVISORS

Office #1: 23 Broad Street, Westerly, RI 02891
RIA
CRD#: 110407
Westerly, RI
Past

May 17, 2019 - January 28, 2025

NAPATREE CAPITAL LLC

RIA
CRD#: 292776
WESTERLY, RI

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".
WT
WASHINGTON TRUST ADVISORS
WASHINGTON TRUST ADVISORS | WESTONFINANCIAL | WESTON FINANCIAL GROUP INC. | WESTON FINANCIAL GROUP INC | WESTON FINANCIAL | WASHINGTON TRUST WEALTH MANAGEMENT | WASHINGTON TRUST ADVISORS, INC.

CRD#: 110407 / SEC#: 801-18403

RIA
Registered Investment Advisory firm - (2/11/1983 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.

Highlighted states indicate IAR registrations

IAR
Rhode Island
(2/26/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/17/2019
Uniform Investment Adviser Law Examination

Current Firm

WT
WASHINGTON TRUST ADVISORS
WASHINGTON TRUST ADVISORS | WESTONFINANCIAL | WESTON FINANCIAL GROUP INC. | WESTON FINANCIAL GROUP INC | WESTON FINANCIAL | WASHINGTON TRUST WEALTH MANAGEMENT | WASHINGTON TRUST ADVISORS, INC.

CRD#: 110407 / SEC#: 801-18403

RIA
Registered Investment Advisory firm - (2/11/1983 Approved)
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Contact information

Main Address
20 William St Suite 135, Wellesley, MA 02481
Mailing Address
Phone number
(781) 235-7055
Established
Firm type
Fiscal year end
# of Employees
20

SEC notice filing (20 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

WASHINGTON TRUST ADVISOR'S FORM PART 2A (9/3/2025)
WASHINGTON TRUST ADVISOR'S FORM PART 2B (9/3/2025)

Regulatory assets under management

Total Number of Accounts1,356
AUM (Assets Under Management)$ 1,999,516,447

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

WASHINGTON TRUST ADVISORS

CRD#: 110407Westerly, RI 02891

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