JV
James J. Varaklis
IBEX WEALTH ADVISORS
Bedminster, NJ 07921
Some features on this profile are disabled
CRD#: 2103913
JV
Professional summary
James John Varaklis, who also goes by James John Varakis, James J Varaklis, is a registered financial advisor currently at IBEX WEALTH ADVISORS, LLC located in Bedminster, New Jersey and LPL FINANCIAL LLC located in Bedminster, New Jersey.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 8 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James John Varakis | James J Varaklis
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.
1.08/19/2004 - NO BUSINESS NAME - NON-VARIABLE INSURANCE DBA - JAMES J. VARAKLIS & COMPANY - INV REL - AT REPORTED BUSINESS LOCATION(S) 2. 05/01/2009 - JAMES J. VARAKLIS & COMPANY -NON-VARIABLE INSURANCE DBA - INV REL - AT REPORTED BUSINESS LOCATION(S) - TIME SPENT 10% 3. 07/11/2011 - JAMES J. VARAKLIS & COMPANY -NON-VARIABLE INSURANCE DBA - JAMES J. VARAKLIS & COMPANY - INV REL - AT REPORTED BUSINESS LOCATION(S) - TIME SPENT 10% 4. 01/30/2014 - IBEX WEALTH ADVISORS - REGISTERED INVESTMENT ADVISOR - (HYBRID) IBEX WEALTH ADVISORS - INV REL - AT REPORTED BUSINESS LOCATION(S) - TIME SPENT 80% 5. 01/12/2016 * IBEX Wealth Advisors, LLC * Registered Investment Advisor Hybrid * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 04/01/2014 * 160 HRS/MO DURING SECS TRDG HRS. 6. 05/25/2022 - IBEX Wealth Advisors, LLC - Investment Related - At Reported Business Location (s) - Registered Investment Advisor Hybrid - IAR - Start Date - 04/01/2014 - 160 Hours Per Month/ 160 Hours During Securities - Time Spent 100% - I provide investment advisory services through IBEX Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 1/2014. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view James John Varaklis'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
January 17, 2014 - Present
IBEX WEALTH ADVISORS, LLC
Office #1: 135 Us Highway 202 206 Suite 4, Bedminster, NJ 07921RIA
CRD#: 168674
Bedminster, NJ
Current
October 19, 2004 - Present
LPL FINANCIAL LLC
Office #1: 135 Us Highway 202 206, Ste 4, Bedminster, NJ 07921RIA
BD
CRD#: 6413
Bedminster, NJ
Past
September 14, 2006 - June 26, 2014
JAMES J. VARAKLIS & COMPANY, INC.
RIA
CRD#: 130834
LEBANON, NJ
Past
October 19, 2004 - October 30, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEBANON, NJ
Past
June 2, 2004 - December 31, 2004
JAMES J. VARAKLIS & COMPANY, INC.
RIA
CRD#: 130834
LEBANON, NJ
Past
August 1, 2003 - November 2, 2004
WALNUT STREET SECURITIES, INC.
RIA
CRD#: 15840
LEBANON, NJ
Past
August 1, 2003 - November 2, 2004
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 24, 2003 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
RIA
CRD#: 8503
LEBANON, NJ
Past
April 6, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
BD
CRD#: 8503
NEW YORK, NY
Past
October 22, 1998 - April 6, 2001
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
January 16, 1996 - October 22, 1998
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
August 11, 1994 - January 31, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
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".
IW
IBEX WEALTH ADVISORS, LLC
IBEX WEALTH ADVISORS, LLC | PHIL RONGO WEALTH MANAGEMENT
CRD#: 168674 / SEC#: 801-78971
RIA
Registered Investment Advisory firm - (1/2/2014 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.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
Alabama(6/2/2022)
RR
Arizona(1/21/2021)
RR
California(10/19/2004)
RR
Colorado(7/1/2021)
RR
Connecticut(6/2/2022)
RR
Delaware(6/2/2022)
RR
Florida(10/19/2004)
RR
Georgia(1/25/2012)
RR
Illinois(6/2/2022)
RR
Indiana(6/2/2022)
RR
Kentucky(9/13/2024)
RR
Louisiana(9/30/2020)
RR
Maine(10/19/2004)
RR
Maryland(4/17/2007)
RR
Massachusetts(10/19/2004)
RR
Missouri(6/2/2022)
RR
Montana(6/2/2022)
RR
Nevada(6/2/2022)
RR
New Hampshire(6/2/2022)
RR
New Jersey(10/19/2004)
IAR
New Jersey(1/17/2014)
RR
New York(10/19/2004)
RR
North Carolina(6/2/2022)
RR
Ohio(6/2/2022)
RR
Oregon(6/2/2022)
RR
Pennsylvania(10/19/2004)
RR
Rhode Island(5/8/2023)
RR
South Carolina(11/10/2005)
RR
Tennessee(6/2/2023)
RR
Texas(6/2/2022)
RR
Vermont(6/2/2022)
RR
Virginia(10/19/2004)
RR
Washington(6/2/2022)
RR
Wyoming(6/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IW
IBEX WEALTH ADVISORS, LLC
IBEX WEALTH ADVISORS, LLC | PHIL RONGO WEALTH MANAGEMENT
CRD#: 168674 / SEC#: 801-78971
RIA
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Contact information
Main Address
135 Us Highway 202 206 Suite 4, Bedminster, NJ 07921
Mailing Address
Phone number
(908) 849-4800
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,014 |
| AUM (Assets Under Management) | $ 963,308,925 |
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.
