James E. Branch

GRAY PRIVATE WEALTH

Canton, MA 02021

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CRD#: 703945

Professional summary

James Elliott Branch III, CFP®, who also goes by James Elliott Branch, Jim Branch, is a registered financial advisor currently at GRAY PRIVATE WEALTH, LLC located in Canton, Massachusetts.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. James has worked at 7 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 Elliott Branch | Jim Branch

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.

Gray Private Wealth, LLC POSITION: DIRECTOR OF FINANCIAL SERVICES, PROFESSIONAL STAFF NATURE: Financial services entity. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2008 DESCRIPTION: Provide financial services to clients. Jim inherited a farm that he and his siblings lease out in Martinsville, Indiana. He is a passive owner.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Elliott Branch III'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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Current

April 8, 2008 - Present

GRAY PRIVATE WEALTH, LLC

Office #1: 150 Royall Street Suite 102, Canton, MA 02021

RIA

CRD#: 128547

Canton, MA

Past

June 14, 2004 - February 1, 2018

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

CANTON, MA

Past

June 1, 2004 - February 1, 2018

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

CANTON, MA

Past

December 3, 2001 - June 7, 2004

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

FRAMINGHAM, MA

Past

June 27, 1997 - June 7, 2004

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

May 17, 1984 - September 27, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

May 10, 1982 - June 21, 1982

COUGHLIN & COMPANY, INC.

CRD#: 185

Past

January 19, 1980 - May 26, 1982

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

CRD#: 6929

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".

GRAY PRIVATE WEALTH, LLC

GRAY EQUITY MANAGEMENT, LLC | GRAY PRIVATE WEALTH, LLC

CRD#: 128547 / SEC#: 801-112720

RIA

Registered Investment Advisory firm - (3/29/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (1/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2018 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

Massachusetts
(4/8/2008)

IAR

Texas
(4/27/2021)

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 65

Date: 12/3/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GRAY PRIVATE WEALTH, LLC

GRAY EQUITY MANAGEMENT, LLC | GRAY PRIVATE WEALTH, LLC

CRD#: 128547 / SEC#: 801-112720

RIA

Registered Investment Advisory firm - (3/29/2018 Approved)

Massachusetts

Registered Investment Advisory firm - (1/4/2019 Terminated)

Texas

Registered Investment Advisory firm - (12/12/2018 Terminated)

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Contact information

Main Address

150 Royall Street Suite 102, Canton, MA 02021

Mailing Address

Phone number

(781) 232-2020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GPW - FORM ADV 2A - FINAL 02.05.2024 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	279
AUM (Assets Under Management)	$ 465,414,148

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/19/2023	Cover Page	Report
01/11/2023	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.

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Firm Stability Insights

James E. Branch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Elliott Branch III's CRS (Customer Relationship Summary).

Certified licenses

Experience

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COUGHLIN & COMPANY, INC.

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

Primary Firm SEC Registration

GRAY PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/3/1998

Series 63

Date: 7/9/1997

SIE

Date: 2/1/2018

Series 7

Date: 4/19/1999

Series 6

Date: 6/25/1997

Current Firm

GRAY PRIVATE WEALTH, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

GRAY PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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