James B. Dobbs

WOODFIELD FINANCIAL ADVISORS

Deer Park, IL 60010

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CRD#: 1343000

Professional summary

James Blake Dobbs, CFP®, who also goes by James B Dobbs, Jim Dobbs, is a registered financial advisor currently at WOODFIELD FINANCIAL ADVISORS, INC. located in Deer Park, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 9 firms and has passed the Series 63, Series 22 and Series 6 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Estate Planning

Tax Planning

Employee and Employer Plan Ben...

Comprehensive Financial Planni...

Business Succession Planning

Are you a "fiduciary"?

Yes

Aliases

James B Dobbs | Jim Dobbs

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.

INSURANCE, RIS, MORTGAGE BANKER - WOODFIELD PLANNING CORP, 3701 ALGONQUIN RD, STE 720, ROLLING MEADOWS, IL 60008 - 40+ HRS/WK - PRESIDENT/ 100% OWNER - RUNS COMPANY, ORIGINATES LOANS, FINANCIAL PLANNER, SELLS INSURANCE (L,A & H)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Blake Dobbs'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: 1987

Experience

Current

October 22, 1997 - Present

WOODFIELD FINANCIAL ADVISORS, INC.

Office #1: 21660 W. Field Pkwy Suite 290, Deer Park, IL 60010

RIA

CRD#: 123279

Deer Park, IL

Past

September 8, 2009 - October 30, 2009

LPL FINANCIAL LLC

CRD#: 6413

ROLLING MEADOWS, IL

Past

October 22, 1997 - December 31, 2002

WOODFIELD FINANCIAL ADVISORS, INC.

RIA

CRD#: 123279

ROLLING MEADOWS, IL

Past

April 11, 1990 - September 8, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

ROLLING MEADOWS, IL

Past

November 19, 1989 - March 27, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

May 5, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

October 30, 1987 - May 10, 1988

FSC SECURITIES CORPORATION

CRD#: 7461

Past

September 29, 1986 - November 20, 1987

WHYTECLIFFE SECURITIES INC.

CRD#: 17880

Past

August 19, 1986 - December 24, 1986

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

Past

March 1, 1985 - December 20, 1986

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

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".

WOODFIELD FINANCIAL ADVISORS, INC.

WOODFIELD FINANCIAL ADVISORS, INC. | WOODFIELD PLANNING CORPORATION

CRD#: 123279 / SEC#: 801-121330

RIA

Registered Investment Advisory firm - (10/1/2021 Approved)

Illinois

Registered Investment Advisory firm - (10/7/2021 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
(10/22/1997)

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

Series 63

Date: 9/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 11/19/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 2/7/1985

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WOODFIELD FINANCIAL ADVISORS, INC.

WOODFIELD FINANCIAL ADVISORS, INC. | WOODFIELD PLANNING CORPORATION

CRD#: 123279 / SEC#: 801-121330

RIA

Registered Investment Advisory firm - (10/1/2021 Approved)

Illinois

Registered Investment Advisory firm - (10/7/2021 Terminated)

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Contact information

Main Address

21660 W. Field Pkwy Suite 290, Deer Park, IL 60010

Mailing Address

Phone number

(847) 726-9600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WOODFIELD FINANCIAL ADVISORS, INC. FIRM BROCHURE (2/20/2025)

Regulatory assets under management

Total Number of Accounts	618
AUM (Assets Under Management)	$ 186,655,848

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

James B. Dobbs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Blake Dobbs's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

WOODFIELD FINANCIAL ADVISORS, INC.

WATERSTONE FINANCIAL GROUP, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

WHYTECLIFFE SECURITIES INC.

LASALLE ST SECURITIES, L.L.C.

INVESTORS BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

WOODFIELD FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1991

Series 22

Date: 11/19/1985

Series 6

Date: 2/7/1985

Current Firm

WOODFIELD FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WOODFIELD FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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