James J. Karabas

EMBREE FINANCIAL GROUP

Chicago, IL 60654

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CRD#: 1296427

Professional summary

James J Karabas, CFP®, CIMA®, who also goes by James J Karabas Jr, Jim Karabas, is a registered financial advisor currently at EMBREE FINANCIAL GROUP located in Chicago, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James J Karabas Jr | Jim Karabas

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.

James Karabas is the Owner of Pente Consulting LLC; Investment related: No; Location: 617 Green Bay Road Wilmette IL 60091; Description: Litigation support and consulting;; Responsibilities Duties: Pente Consulting provides litigation support to attorneys involved with arbitrating or litigating cases for plaintiffs/claimants or defendants/respondents in the Financial Services industry. All work is performed outside market hours and does not conflict with current job responsibilities; Start date: 2024-01-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 2.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James J Karabas'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

Start date: 2001

CIMA^®

Certified Investment Management Analyst

Experience

Current

March 4, 2016 - Present

EMBREE FINANCIAL GROUP

Office #1: 440 N Wells St Suite 530, Chicago, IL 60654

RIA

CRD#: 108233

Chicago, IL

Past

September 27, 2013 - January 11, 2016

WADDELL & REED

RIA

CRD#: 866

SCHAUMBURG, IL

Past

September 27, 2013 - January 11, 2016

WADDELL & REED

CRD#: 866

SCHAUMBURG, IL

Past

November 13, 2012 - April 1, 2013

VESTOR CAPITAL, LLC

RIA

CRD#: 165855

CHICAGO, IL

Past

September 12, 2006 - October 30, 2012

VESTOR CAPITAL PARTNERS, LLC

RIA

CRD#: 136859

CHICAGO, IL

Past

September 12, 2006 - April 1, 2013

VESTOR CAPITAL SECURITIES, LLC

CRD#: 15809

CHICAGO, IL

Past

April 12, 1998 - September 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

January 29, 1988 - September 11, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

May 7, 1986 - March 28, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

May 7, 1985 - May 12, 1986

CIBC WORLD MARKETS CORP.

CRD#: 630

Past

August 21, 1984 - May 29, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/4/2016)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/8/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/11/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 1/29/1987

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 11/14/1986

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 5/4/1984

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/2007

General Securities Principal Examination

Current Firm

EMBREE FINANCIAL GROUP

EMBREE FINANCIAL GROUP | MOODY INVESTMENT ADVISORS, INC.

CRD#: 108233 / SEC#: 801-63489

RIA

Registered Investment Advisory firm - (9/23/2004 Approved)

Illinois

Registered Investment Advisory firm - (9/23/2004 Terminated)

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Contact information

Main Address

440 N Wells St Suite 530, Chicago, IL 60654

Mailing Address

Phone number

(312) 527-5565

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - EMBREE FINANCIAL GROUP (2/14/2025)

Regulatory assets under management

Total Number of Accounts	2,363
AUM (Assets Under Management)	$ 2,282,297,500

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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Firm Stability Insights

James J. Karabas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James J Karabas's CRS (Customer Relationship Summary).

Certified licenses

Experience

WADDELL & REED

WADDELL & REED

VESTOR CAPITAL, LLC

VESTOR CAPITAL PARTNERS, LLC

VESTOR CAPITAL SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

EMBREE FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 7/8/1998

Series 63

Date: 9/24/1984

SIE

Date: 1/11/2016

Series 15

Date: 1/29/1987

Series 5

Date: 11/14/1986

Series 7

Date: 8/18/1984

Series 3

Date: 5/4/1984

Series 24

Date: 4/23/2007

Current Firm

EMBREE FINANCIAL GROUP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMBREE FINANCIAL GROUP

TRUST BUT VERIFY

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