James A. Steinbrenner

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Wauwatosa, WI 53226

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CRD#: 1225845

Professional summary

James Arthur Steinbrenner, who also goes by Jim Steinbrenner, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Wauwatosa, Wisconsin and LASALLE ST SECURITIES, L.L.C. located in Wauwatosa, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Steinbrenner

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.)HEARTLAND ORGANIZATION LTD-ASSIST WITH SEMINARS, REFER INDIVIDUALS TO ATTORNEYS FOR ESTATE PLANNING, DIRECTOR OF FIRM-NOT INVESTMENT RELATED-WI, 53226-5% TIME SPENT. FIXED INSURANCE SALES. 2.)STEINBRENNER FINANCIAL GROUP - DBA INVESTMENT RELATED BUSINESS, 530 N. 108TH PLACE, SUITE 203, WAUWATOSA, WI 53226 CORPORATION, INSURANCE REP, FIXED ANNUITIES 3) STEINBRENNER PARTNERS PROPERTY 1 LLC, 1642 EDITH ESPLANADE CAPE CORAL, FL 33904, RENTAL PROPERTY, 1% TIME SPENT, 1-20% ANNUAL INCOME, NON-INVESTMENT RELATED; 4. LaSalle St Investment Advisors LLC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Arthur Steinbrenner'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

February 1, 2019 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 9800 Bluemound Rd., Wauwatosa, WI 53226

RIA

CRD#: 109701

Wauwatosa, WI

Current

February 1, 2019 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 9800 W. Bluemound Rd., Wauwatosa, WI 53226

CRD#: 7191

Wauwatosa, WI

Past

January 9, 2009 - February 27, 2019

SAXONY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 122692

MILWAUKEE, WI

Past

December 24, 2008 - February 27, 2019

SAXONY SECURITIES, INC.

CRD#: 115547

Wauwatosa, WI

Past

May 10, 2005 - December 19, 2008

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WAUWATOSA, WI

Past

August 19, 2003 - August 19, 2003

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

WAUWATOSA, WI

Past

October 2, 2000 - December 19, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

WAUWATOSA, WI

Past

October 12, 1998 - October 3, 2000

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

July 24, 1986 - September 8, 1992

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

January 3, 1984 - May 5, 1986

SIGNATOR INVESTORS, INC.

CRD#: 468

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".

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 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.

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

Arizona
(3/25/2024)

Arkansas
(2/1/2019)

IAR

Arkansas
(1/25/2022)

Illinois
(4/17/2019)

IAR

Illinois
(3/3/2020)

Indiana
(4/15/2019)

IAR

Indiana
(9/30/2019)

IAR

Kentucky
(8/1/2023)

Michigan
(2/1/2019)

IAR

Michigan
(1/10/2024)

Minnesota
(2/11/2019)

North Carolina
(2/1/2019)

IAR

North Carolina
(10/28/2019)

Wisconsin
(2/1/2019)

IAR

Wisconsin
(2/1/2019)

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: 7/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/13/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/30/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/3/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/30/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/7/2004

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA

Registered Investment Advisory firm - (2/10/1989 Approved)

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Contact information

Main Address

940 N. Industrial Dr., Elmhurst, IL 60126-1131

Mailing Address

Phone number

(630) 600-0500

Established

Firm type

Fiscal year end

# of Employees

144

SEC notice filing (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts	11,941
AUM (Assets Under Management)	$ 4,346,509,887

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.

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Advisor Monitoring

Firm Stability Insights

James A. Steinbrenner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LASALLE ST SECURITIES, L.L.C.

SAXONY CAPITAL MANAGEMENT, LLC

SAXONY SECURITIES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

HARBOUR INVESTMENTS, INC.

OSAIC FS, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/12/1999

Series 63

Date: 3/13/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/30/1998

Series 22

Date: 10/3/1984

Series 6

Date: 12/30/1983

Series 51

Date: 6/7/2004

Series 24

Date: 4/16/1999

FINRA

Current Firm

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Contact information

SEC notice filing (46 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

TRUST BUT VERIFY

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