James W. Ryan

EAB INVESTMENT GROUP

Philadelphia, PA 19103

Some features on this profile are disabled

CRD#: 1658850

Professional summary

James W Ryan, who also goes by James Walter Ryan, is a registered financial advisor currently at EAB INVESTMENT GROUP, LLC located in Philadelphia, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. James has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Walter Ryan

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 W Ryan's 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

May 19, 2020 - Present

EAB INVESTMENT GROUP, LLC

Office #1: 1650 Market Street 53rd Floor, Philadelphia, PA 19103

RIA

CRD#: 165865

Philadelphia, PA

Past

July 14, 2020 - November 10, 2022

GUGGENHEIM SECURITIES, LLC

CRD#: 40638

NEW YORK, NY

Past

July 29, 2014 - January 13, 2021

SRT SECURITIES LLC

CRD#: 33725

BIRMINGHAM, MI

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".

EAB INVESTMENT GROUP, LLC

EAB INVESTMENT GROUP, LLC | EASTERLY EAB

CRD#: 165865 / SEC#: 801-96306

RIA

Registered Investment Advisory firm - (5/29/2015 Approved)

New Jersey

Registered Investment Advisory firm - (7/15/2021 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

Pennsylvania
(5/19/2020)

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: 9/9/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/4/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2014

General Securities Representative Examination

Current Firm

EAB INVESTMENT GROUP, LLC

EAB INVESTMENT GROUP, LLC | EASTERLY EAB

CRD#: 165865 / SEC#: 801-96306

RIA

Registered Investment Advisory firm - (5/29/2015 Approved)

New Jersey

Registered Investment Advisory firm - (7/15/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

150 Monument Road Suite 207, Bala Cynwyd, PA 19004

Mailing Address

Phone number

(646) 583-0032

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

EAB ADV PART 2 (3/3/2025)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 219,602,003

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Delray Beach, FL

Robert Boland

RBC CAPITAL MARKETS, LLC

IAR

Malvern, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James W. Ryan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James W Ryan's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUGGENHEIM SECURITIES, LLC

SRT SECURITIES LLC

Primary Firm SEC Registration

EAB INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2020

Series 65

Date: 3/4/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/29/2014

Current Firm

EAB INVESTMENT GROUP, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EAB INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors