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JA

James R. Aljian

ALJIAN CAPITAL MANAGEMENT
Carson City, NV 89701
Some features on this profile are disabled
CRD#: 1489018
JA

Professional summary

James Raymond Aljian, who also goes by James R Aljian, is a registered financial advisor currently at ALJIAN CAPITAL MANAGEMENT located in Carson City, Nevada.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

James R Aljian

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Raymond Aljian'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

September 6, 2013 - Present

ALJIAN CAPITAL MANAGEMENT

Office #1: 600 E William Street Ste. 208, Carson City, NV 89701
RIA
CRD#: 167381
Carson City, NV
Past

June 1, 2009 - September 12, 2013

MORGAN STANLEY

RIA
CRD#: 149777
SANTA ROSA, CA
Past

June 1, 2009 - September 12, 2013

MORGAN STANLEY

BD
CRD#: 149777
SANTA ROSA, CA
Past

July 8, 1997 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
SANTA ROSA, CA
Past

March 1, 1994 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SANTA ROSA, CA
Past

February 23, 1988 - March 3, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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".
AC
ALJIAN CAPITAL MANAGEMENT
ALJIAN CAPITAL MANAGEMENT | SILVER STATE MANAGEMENT | OCEAN CAPITAL MANAGEMENT LLC | ALJIAN CAPITAL MANAGEMENT, LLC | ALJIAN CAPITAL MANAGEMENT LLC

CRD#: 167381 / SEC#: 801-78416

RIA
Registered Investment Advisory firm - (9/6/2013 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.

Highlighted states indicate IAR registrations

IAR
California
(9/6/2013)
IAR
Nevada
(12/8/2023)
IAR
Texas
(9/29/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/12/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/3/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/15/1987
National Commodity Futures Examination

Current Firm

AC
ALJIAN CAPITAL MANAGEMENT
ALJIAN CAPITAL MANAGEMENT | SILVER STATE MANAGEMENT | OCEAN CAPITAL MANAGEMENT LLC | ALJIAN CAPITAL MANAGEMENT, LLC | ALJIAN CAPITAL MANAGEMENT LLC

CRD#: 167381 / SEC#: 801-78416

RIA
Registered Investment Advisory firm - (9/6/2013 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
600 E William Street Ste. 208, Carson City, NV 89701
Mailing Address
Phone number
(707) 230-2158
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/3/2026)

Regulatory assets under management

Total Number of Accounts1,049
AUM (Assets Under Management)$ 627,797,250

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.

Company Information

ALJIAN CAPITAL MANAGEMENT

CRD#: 167381Carson City, NV 89701

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Contact information

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