JB
James C. Baldwin
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST
Sterling Heights, MI 48313
Some features on this profile are disabled
CRD#: 7451561
JB
Professional summary
James Charles Baldwin, who also goes by Jimmy Charles Baldwin, is a registered financial advisor currently at SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST located in Sterling Heights, Michigan and GRADIENT SECURITIES, LLC located in Sterling Heights, Michigan.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. James has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy Charles Baldwin
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.)SUMMIT HEALTH SERVICES; NOT INV REL; 43409 SCHOENHERR ROAD, STERLING HEIGHTS, MI 48313; INSURANCE; INSURANCE AGENT; START 10/2021; 4 HOURS PER MONTH; 4 HOURS DURING SECURITY TRADING HOURS; HEALTH INSURANCE SALES. (2.) SUMMIT FINANCIAL CONSULTING, LLC DBA SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST; 43409 SCHOENHERR ROAD, STERLING HEIGHTS, MI 48313; ADVISORY; IAR; START 10/2021; INVESTMENT ADVISOR REPRESENTATIVE. (3.) SUMMIT FINANCIAL CONSULTING, LLC; 43409 SCHOENHERR ROAD, STERLING HEIGHTS, MI 48313; FIXED ANNUITIES AND LIFE INSURANCE; AGENT; START 10/2021; SALES OF FIXED ANNUITIES AND LIFE INSURANCE. (4.) GRADIENT SECURITIES, LLC; INV REL; 43409 SCHOENHERR ROAD, STERLING HEIGHTS, MI 48313; NRF; NON-REGISTERED ADMINISTRATIVE; START 10/2021; APPROX 40 HRS PER MO; 2% OF TIME. (5.) THE TAMMIE DANIELS REVOCABLE LIVING TRUST; 43409 SCHOENHERR RD, STERLING HEIGHTS, MI 48313; CO-TRUSTEE; START 6/18/2022; APPROX 0 HRS PER MONTH; 0 HOURS DURING SECURITY TRADING HOURS; CARRY OUT RESPONSIBILITIES OF THE TRUST. (6.) JAMES BALDWIN, SOLE PROPRIETOR; INVESTMENT RELATED; STERLING, MI; 05/2021; INSURANCE SALES; INSURANCE AGENT; 5/ HRS MO; 5/ HRS MO
CRS (Client Relationship Summary) - RIA
Click below to view James Charles Baldwin's 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®
NoneExperience
Current
October 29, 2021 - Present
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST
Office #1: 43409 Schoenherr Road, Sterling Heights, MI 48313RIA
CRD#: 126570
Sterling Heights, MI
Current
April 27, 2022 - Present
GRADIENT SECURITIES, LLC
Office #1: 43409 Schoenherr Road, Sterling Heights, MI 48313RIA
BD
CRD#: 127701
Sterling Heights, MI
Past
October 6, 2021 - October 23, 2021
TRIVELLONI ASSET MANAGEMENT
RIA
CRD#: 149379
MOUNT CLEMENS, MI
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".
SF
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST
SUMMIT FINANCIAL CONSULTING | SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST | SUMMIT FINANCIAL CONSULTING LLC
CRD#: 126570 / SEC#: 801-123641
RIA
Registered Investment Advisory firm - (4/7/2022 Approved)Michigan
Registered Investment Advisory firm - (4/19/2022 Terminated)Texas
Registered Investment Advisory firm - (4/11/2022 Terminated)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.RR
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
IAR
Michigan(10/29/2021)
RR
Michigan(5/25/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/27/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST
SUMMIT FINANCIAL CONSULTING | SUMMIT FINANCIAL WORKING WITH PEOPLE YOU TRUST | SUMMIT FINANCIAL CONSULTING LLC
CRD#: 126570 / SEC#: 801-123641
RIA
Registered Investment Advisory firm - (4/7/2022 Approved)Michigan
Registered Investment Advisory firm - (4/19/2022 Terminated)Texas
Registered Investment Advisory firm - (4/11/2022 Terminated)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
43409 Schoenherr Road, Sterling Heights, MI 48313
Mailing Address
Phone number
(586) 226-2100
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,539 |
| AUM (Assets Under Management) | $ 122,131,914 |
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.
