JK
James D. Kraatz
BLACKRIDGE ASSET MANAGEMENT
Shelby Township, MI 48315
Some features on this profile are disabled
CRD#: 2102044
JK
Professional summary
James Dale Kraatz is a registered financial advisor currently at BLACKRIDGE ASSET MANAGEMENT, LLC located in Shelby Township, Michigan and PEAK BROKERAGE SERVICES, LLC located in Shelby Township, Michigan.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) FAITH INVESTMENT SERVICES LLC POSITION: Owner NATURE: Fixed Annuities, Fixed Life Insurance, Health/Disability Insurance, Long-Term Care insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/01/2008 ADDRESS: 51863 Schoenherr Road Suite 101 Shelby Township, MI 48315 DESCRIPTION: Fixed Insurance sales 2) HOPE HOLDINGS LLC POSITION: Owner NATURE: LLC we use to run the office, pay bills and employ staff. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/19/2002 ADDRESS: 51863 Schoenherr Road Suite 101 Shelby Township, MI 48315 DESCRIPTION: 60% partner in business - attend LLC meetings. 3) FAITH INVESTMENT SERVICES, LLC POSITION: Owner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 140 START DATE: 03/01/2008 ADDRESS: 51863 Schoenherr Road Suite 101 Shelby Township, MI 48315 DESCRIPTION: Conduct Securities and Fixed Insurance business under this DBA 4) Faith Hope Properties; Real Estate; Partner; Start Date: 2/6/2020; Approximate # of Hours Spent On Activity Per Month: 4; Approximate X of Hours Spent On Activity Per Month During Trading Hours: 0 5) Business Activity: Insurance Agent; Business Entity: AE Medicare Partnership Program; Duties of Position: Referring clients for Medicare quotes; Title: Rep; Start Date: 08/15/2023; Approx. # of hours per month spent on activity: 5; Approx. # of hours spent during trading hours: 5
CRS (Client Relationship Summary) - RIA
Click below to view James Dale Kraatz'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®
NoneExperience
Current
March 21, 2017 - Present
BLACKRIDGE ASSET MANAGEMENT, LLC
Office #1: 51863 Schoenerr Road Suite 101, Shelby Township, MI 48315RIA
CRD#: 277085
Shelby Township, MI
Current
March 16, 2017 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 51863 Schoenherr Road Suite 101, Shelby Township, MI 48315BD
CRD#: 157045
Shelby Township, MI
Past
March 3, 2008 - March 20, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SHELBY TOWNSHIP, MI
Past
February 29, 2008 - March 20, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SHELBY TOWNSHIP, MI
Past
October 18, 2005 - March 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
RIA
CRD#: 8408
SHELBY TOWNSHIP, MI
Past
October 18, 2005 - March 3, 2008
CAPITAL FINANCIAL SERVICES, INC.
BD
CRD#: 8408
SHELBY TOWNSHIP, MI
Past
February 6, 2004 - October 19, 2005
JESUP & LAMONT ADVISORS
RIA
CRD#: 108006
SHELBY TOWNSHIP, MI
Past
November 20, 2003 - October 19, 2005
EMPIRE FINANCIAL GROUP, INC.
BD
CRD#: 28759
LONGWOOD, FL
Past
October 16, 2002 - November 20, 2003
FREEDOM FINANCIAL, INC.
BD
CRD#: 45850
OMAHA, NE
Past
October 31, 1990 - October 31, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
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".
BA
BLACKRIDGE ASSET MANAGEMENT, LLC
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
RIA
Registered Investment Advisory firm - (7/8/2016 Approved)Florida
Registered Investment Advisory firm - (7/13/2016 Terminated)New York
Registered Investment Advisory firm - (7/13/2016 Terminated)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.RR
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
RR
Colorado(3/28/2024)
RR
Florida(3/16/2017)
RR
Georgia(3/16/2017)
RR
Michigan(3/16/2017)
IAR
Michigan(3/21/2017)
RR
North Carolina(3/16/2017)
RR
Ohio(3/20/2017)
RR
South Carolina(3/16/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BA
BLACKRIDGE ASSET MANAGEMENT, LLC
BLACKRIDGE ASSET MANAGEMENT, LLC
CRD#: 277085 / SEC#: 801-108114
RIA
Registered Investment Advisory firm - (7/8/2016 Approved)Florida
Registered Investment Advisory firm - (7/13/2016 Terminated)New York
Registered Investment Advisory firm - (7/13/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1070 E. Indiantown Road Suite 208-210, Jupiter, FL 33477
Mailing Address
Phone number
(561) 641-5050
Established
Firm type
Fiscal year end
# of Employees
59
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 826 |
| AUM (Assets Under Management) | $ 196,842,156 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
