James A. Rodriguez Colom

X-SQUARE CAPITAL

Guaynabo, PR 00968

Some features on this profile are disabled

CRD#: 1196370

Professional summary

James Arthur Rodriguez Colom, who also goes by James Arthur Rodriguezcolom, is a registered financial advisor currently at X-SQUARE CAPITAL located in Guaynabo, and ALPS DISTRIBUTORS, INC. located in Guaynabo, .

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Arthur Rodriguezcolom

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.

X-Square Capital; Investment-Related; Centro Internacional de Mercadeo II 90 Carr 165 Suite 803 Guaynabo, PR 00968; Investment Management; Senior Vice President; 10/2019; 160 hours/month, 130 hours/month during trading; Marketing of Investment Management Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Rodriguez Colom'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

April 27, 2016 - Present

X-SQUARE CAPITAL

Office #1: Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

RIA

CRD#: 167237

Guaynabo, PR

Current

February 3, 2020 - Present

ALPS DISTRIBUTORS, INC.

Office #1: Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

CRD#: 16853

Guaynabo, PR

Past

April 26, 2005 - October 29, 2010

SANTANDER SECURITIES LLC

CRD#: 41791

PONCE, PR

Past

August 9, 1989 - May 24, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

Past

August 9, 1989 - May 12, 2005

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

February 4, 1985 - May 23, 1989

POPULAR SECURITIES, LLC

CRD#: 8096

Past

October 19, 1983 - May 24, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

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".

X-SQUARE CAPITAL

X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.

CRD#: 167237 / SEC#: 801-88171

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2015 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.

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

Puerto Rico
(4/27/2016)

Puerto Rico
(2/25/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/31/2020

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/19/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/1994

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 4/23/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

X-SQUARE CAPITAL

X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.

CRD#: 167237 / SEC#: 801-88171

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2015 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

Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

Mailing Address

Phone number

(787) 282-1621

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03 - X-SQUARE CAPITAL - FORM ADV PART 2A VFINAL (3/31/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 616,864,678

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.

Similar Advisors

Damon George

RETIREMENT STRATEGIES

IAR

Longview, WA

Kourosh Nasseh

CHASE INVESTMENT SERVICES CORP.

John Sanders

PORTUS WEALTH ADVISORS, LLC

IAR

CHARLOTTE, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James A. Rodriguez Colom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Rodriguez Colom's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

SANTANDER SECURITIES LLC

CREDIT SUISSE SECURITIES (USA) LLC

POPULAR SECURITIES, LLC

POPULAR SECURITIES, LLC

CREDIT SUISSE SECURITIES (USA) LLC

Primary Firm SEC Registration

X-SQUARE CAPITAL

State Registrations and Notice Filings

Exams

Series 65

Date: 4/27/2016

Series 63

Date: 6/17/1999

Series 7TO

Date: 1/31/2020

Series 3

Date: 1/19/1990

Series 7

Date: 10/15/1983

Series 24

Date: 12/12/1994

Series 8

Date: 4/23/1987

FINRA

Current Firm

X-SQUARE CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

X-SQUARE CAPITAL

TRUST BUT VERIFY

Similar Advisors