James D. Lathrop

DEARBORN PARTNERS L.L.C.

Chesterfield, MO

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CRD#: 1410050

Professional summary

James Douglas Lathrop, AIF®, who also goes by James Lathrop, is a registered financial advisor currently at DEARBORN PARTNERS L.L.C. located in Chesterfield, Missouri and QUASAR DISTRIBUTORS, LLC located in Portland, Maine.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Lathrop

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.) Dearborn Partners, LLC; Chesterfield, MO; investment related; started 10/15/2018; selling to advisors; wholesaler; educating and advising financial advisors on product details and application of Dearborn Partner's investment products; 160 hours per month with 0 hours during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Douglas Lathrop'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

March 17, 2020 - Present

DEARBORN PARTNERS L.L.C.

RIA

CRD#: 108147

Chesterfield, MO

Current

March 1, 2019 - Present

QUASAR DISTRIBUTORS, LLC

Office #1: 190 Middle Street Suite 301, Portland, ME 04101

CRD#: 103848

Portland, ME

Past

November 22, 2007 - October 3, 2018

RUSSELL INVESTMENTS

RIA

CRD#: 105734

CHESTERFIELD, MO

Past

April 21, 2005 - October 3, 2018

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

CHESTERFIELD, MO

Past

April 6, 2004 - April 12, 2005

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 7, 1994 - March 22, 2004

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

June 14, 1986 - October 13, 1994

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

November 6, 1985 - December 12, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

DEARBORN PARTNERS L.L.C.

CRD#: 108147 / SEC#: 801-54279

RIA

Registered Investment Advisory firm - (4/24/1997 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

Arkansas
(9/11/2019)

Florida
(3/1/2019)

IAR

Illinois
(3/17/2020)

Illinois
(1/3/2022)

Kansas
(3/1/2019)

Louisiana
(5/11/2022)

Minnesota
(5/11/2022)

Missouri
(3/1/2019)

Nebraska
(5/11/2022)

New Mexico
(5/11/2022)

North Dakota
(5/11/2022)

Oklahoma
(5/11/2022)

South Dakota
(5/11/2022)

Texas
(5/11/2022)

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 66

Date: 11/20/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/23/1985

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: 7/18/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/5/1985

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

DEARBORN PARTNERS L.L.C.

CRD#: 108147 / SEC#: 801-54279

RIA

Registered Investment Advisory firm - (4/24/1997 Approved)

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Contact information

Main Address

200 W Madison St Suite 1950, Chicago, IL 60606

Mailing Address

Phone number

(312) 795-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (42 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DEARBORN PARTNERS LLC FORM ADV BROCHURE MARCH 21, 2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	2,837
AUM (Assets Under Management)	$ 3,533,103,194

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 D. Lathrop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Douglas Lathrop's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUASAR DISTRIBUTORS, LLC

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

INVESCO CAPITAL MARKETS, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

DEARBORN PARTNERS L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/20/2007

Series 63

Date: 10/23/1985

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Series 6

Date: 11/5/1985

FINRA

Current Firm

DEARBORN PARTNERS L.L.C.

Contact information

SEC notice filing (42 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DEARBORN PARTNERS L.L.C.

TRUST BUT VERIFY

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