James Mahoney, financial advisor Northampton MA
86 score

James Mahoney

CRD Number: 4460504
Current Firm: Nfp Advisor Services, LLC

James Mahoney (CRD# 4460504) is an Investment Advisor Representative working at Nfp Advisor Services, LLC in Northampton, MA and has over 15 years of experience in the finance industry. James Mahoney has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Kestra Financial Services, Inc. Austin, TX Apr 2016 - Current < 1
Nfp Securities, Inc. Northampton, MA Sep 2014 - Apr 2016 1
H.d. Vest Investment Services Northampton, MA Sep 2010 - Sep 2014 4
H.d. Vest Advisory Services North Hampton, MA Sep 2010 - Sep 2014 4
Digipro Engineering Inc. Amherst, MA Jan 2014 - Apr 2014 < 1
Lpl Financial Farmington, CT Jan 2010 - Aug 2010 < 1
Bradway Financial, LLC Longmeadow, MA Nov 2009 - Dec 2009 < 1
Unemployed North Hampton, MA Oct 2009 - Nov 2009 < 1
Planco Financial Services, Inc. Wayne, PA Oct 2001 - Sep 2009 7
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2001
S65 NASAA Investment Advisors Law Examination Sep 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James J. Mahoney
Phone Number: 512-697-6000
Registered State(s):
  • MA
  • TX
By the Numbers
  • Total Assets Under Management
    12,254
    MILLIONS
  • Total Number of Accounts
    54,412
    ACCOUNTS
  • Average Account Value
    $225,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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