James Michael Mlott
Professional Summary
James Michael Mlott is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Indianapolis, Indiana and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Indianapolis, Indiana. 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 6 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Years of Experience
42 years in the financial services industry
Current & Past Employments
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Current Firm
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | WALKER INVESTMENTS | VANTAGE WEALTH MANAGEMENT | TRINITY CAPITAL MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE PATZER GROUP WEALTH MANAGEMENT | THE BARTHEL AGENCY | THE BALDASSARI GROUP | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS INVESTMENTS | SPRAWLS FINANCIAL | SMITH WEALTH | RETIREMENT AND ESTATE PLANNING SERVICES | PRINCIPIA PRIVATE WEALTH | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | MORAN WEALTH MANAGEMENT | LAVELLE FINANCIAL | LANDMARK FINANCIAL SERVICES | JOHN KERR FINANCIAL | JKS INVESTMENT GROUP | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | HNS ADVISORS | G & M INVESTMENT GROUP | FRATARCANGELI WEALTH MANAGEMENT | ELIAS FINANCIAL NETWORK LLC | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT GROUP | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BCT FINANCIAL | BADDERS & MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL | ASCEND WEALTH | AP CAPITAL MANAGEMENT | ANN A. MOORE FINANCIAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
Contact Information
Main Address
9000 Keystone Crossing Suite 700, Indianapolis, IN 46240Phone Number
(317) 581-4000# of Employees
100SEC notice filing (41 States and Territories)
Registered to provide investment advisory services in 41 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
9,751AUM (Assets Under Management)
$6,008,300,727Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | Cover Page | Report |
| 02/28/2024 | Cover Page | Report |
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
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.
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
Primary Firm SEC Registration
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | WALKER INVESTMENTS | VANTAGE WEALTH MANAGEMENT | TRINITY CAPITAL MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE PATZER GROUP WEALTH MANAGEMENT | THE BARTHEL AGENCY | THE BALDASSARI GROUP | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS INVESTMENTS | SPRAWLS FINANCIAL | SMITH WEALTH | RETIREMENT AND ESTATE PLANNING SERVICES | PRINCIPIA PRIVATE WEALTH | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | MORAN WEALTH MANAGEMENT | LAVELLE FINANCIAL | LANDMARK FINANCIAL SERVICES | JOHN KERR FINANCIAL | JKS INVESTMENT GROUP | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | HNS ADVISORS | G & M INVESTMENT GROUP | FRATARCANGELI WEALTH MANAGEMENT | ELIAS FINANCIAL NETWORK LLC | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT GROUP | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BCT FINANCIAL | BADDERS & MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL | ASCEND WEALTH | AP CAPITAL MANAGEMENT | ANN A. MOORE FINANCIAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
State Registrations and Notice Filings
(1/16/2018)
(6/12/2009)
(6/12/2009)
(8/7/2024)
(6/12/2009)
(6/12/2009)
(8/25/2020)
(6/12/2009)
(1/27/2017)
(6/12/2009)
(11/2/2016)
(6/12/2009)
(6/12/2009)
(6/12/2009)
(11/24/2023)
(7/29/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Mlott's CRS (Customer Relationship Summary).
Similar Advisors
SANCTUARY ADVISORS, LLC
SANCTUARY ADVISORS, LLC
EDELMAN FINANCIAL ENGINES
SANCTUARY ADVISORS, LLC
