James Francis Urbanowski
Professional Summary
James Francis Urbanowski is a registered financial advisor currently at 303 ALTERNATIVES, LLC located in Chicago, Illinois. James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 6, Series 27 and Series 24 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.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
303 ALTERNATIVES, LLC | 303 CAPITAL MARKETS, LLC
Contact Information
Main Address
401 West Superior Street, Chicago, IL 60654Mailing Address
401 West Superior Street, Chicago, IL 60654Phone Number
(312) 605-8000Established
Delaware since 10/23/2012Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1989About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Francis Urbanowski's CRS (Customer Relationship Summary).
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