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James Francis Marshall

Jm Advisors, LLC

Albany, NY

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Current Employers
Jm Advisors, Llc

125 Wolf Road Suite 203, Albany, NY 12205 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-29
  • NY RA
    APPROVED
    Since 2021-03-29

Branch Locations

125 Wolf Road Suite 203, Albany, NY 12205 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jm Advisors, Llc Albany NY 10/2011 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-06
S63 Uniform Securities Agent State Law Examination 1990-03-03
  • S65 Uniform Investment Adviser Law Examination
    1992-06-06
  • S63 Uniform Securities Agent State Law Examination
    1990-03-03

View on SEC IAPD

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Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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