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JC

James J. Carbone

AMERITAS ADVISORY SERVICES
BOCA RATON, FL
Some features on this profile are disabled
CRD#: 1215114
JC

Professional summary

James Joseph Carbone, CFP®, who also goes by James J Carbone, Jim Carbone, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Boca Raton, Florida and AMERITAS INVESTMENT COMPANY, LLC located in Lincoln, Nebraska.

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 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James J Carbone | Jim Carbone

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Carbone'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

Experience

Current

March 12, 2026 - Present

AMERITAS ADVISORY SERVICES, LLC

RIA
CRD#: 317245
BOCA RATON, FL
Current

October 8, 2020 - Present

AMERITAS INVESTMENT COMPANY, LLC

Office #1: 5900 "o" Street, Lincoln, NE 68510-2234
BD
CRD#: 14869
Lincoln, NE
Past

October 4, 2017 - August 7, 2019

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
HORSHAM, PA
Past

April 11, 2016 - January 19, 2017

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DES MOINES, IA
Past

July 12, 2011 - January 19, 2017

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

April 29, 2005 - December 31, 2005

ESSEX SECURITIES LLC

BD
CRD#: 46605
JERSEY CITY, NJ
Past

November 1, 1999 - April 29, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

December 13, 1983 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

December 13, 1983 - December 20, 1997

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA
Registered Investment Advisory firm - (1/13/1998 Approved)

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

RR
Florida
(10/8/2020)
IAR
Florida
(3/12/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/16/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/11/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 7/23/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/12/1983
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/21/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245 / SEC#: 801-55153

RIA
Registered Investment Advisory firm - (1/13/1998 Approved)
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Contact information

Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/21/2026)
AMERITAS INVESTMENT STRATEGIES WRAP BROCHURE (3/21/2026)
AMERITAS WEALTH PLATFORM (3/21/2026)
GALAXY WRAP FEE BROCHURE (3/21/2026)
GALAXY II WRAP FEE BROCHURE (3/21/2026)
CONSTELLATION WRAP FEE PROGRAM (3/21/2026)

Regulatory assets under management

Total Number of Accounts41,501
AUM (Assets Under Management)$ 11,506,548,514

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/28/2025
Cover Page
Report
07/23/2024
Cover Page
Report
07/27/2023
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.

Company Information

AMERITAS ADVISORY SERVICES, LLC

CRD#: 317245Boca Raton, FL

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