Jonathan E. James

BANKERS LIFE ADVISORY SERVICES

Naperville, IL

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CRD#: 2237571

Professional summary

Jonathan Erik James, who also goes by Jonathan Erik James, Jonathan James, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Naperville, Illinois and BANKERS LIFE SECURITIES, INC. located in Chicago, Illinois.

Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Jonathan has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Erik James | Jonathan James

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 Jonathan Erik James'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

March 23, 2021 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

Naperville, IL

Current

March 12, 2021 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 303 E Wacker Drive 5th Fl, Chicago, IL 60601

CRD#: 173962

CHICAGO, IL

Past

July 30, 2019 - January 8, 2021

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

NAPERVILLE, IL

Past

July 25, 2019 - January 8, 2021

FIFTH THIRD SECURITIES, INC.

CRD#: 628

NAPERVILLE, IL

Past

June 19, 2013 - June 10, 2019

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

OAKBROOK TERRACE, IL

Past

June 18, 2013 - June 10, 2019

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

OAKBROOK TERRACE, IL

Past

June 5, 2012 - April 12, 2013

PNC CAPITAL ADVISORS LLC

RIA

CRD#: 151829

CHICAGO, IL

Past

January 30, 2012 - March 6, 2013

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

CHICAGO, IL

Past

February 20, 2009 - February 3, 2010

ONEAMERICA SECURITIES, INC.

CRD#: 4173

PLAINFIELD, IL

Past

June 15, 2000 - December 10, 2008

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

LAGRANGE PARK, IL

Past

August 13, 1998 - December 10, 2008

NATCITY INVESTMENTS, INC.

CRD#: 17490

LAGRANGE PARK, IL

Past

August 27, 1996 - December 31, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

December 8, 1993 - August 27, 1996

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 28, 1992 - November 2, 1993

SHAY GOVERNMENT SECURITIES CO.

CRD#: 27214

Past

April 28, 1992 - November 2, 1993

SHAY FINANCIAL SERVICES CO.

CRD#: 27215

IRVING, TX

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

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

Illinois
(3/23/2021)

IAR

Illinois
(3/23/2021)

Indiana
(3/23/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/4/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/26/2003

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

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Contact information

Main Address

303 E. Wacker Drive 5th Fl, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS WRAP BROCHURE 03012025 (2/28/2025)

BLAS-ADV-PART2A 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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.

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Advisor Monitoring

Firm Stability Insights

Jonathan E. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Erik James's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

PNC CAPITAL ADVISORS LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

ONEAMERICA SECURITIES, INC.

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

NATCITY INSURANCE SERVICES, INC.

CITICORP INVESTMENT SERVICES

SHAY GOVERNMENT SECURITIES CO.

SHAY FINANCIAL SERVICES CO.

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2000

Series 63

Date: 1/4/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/13/1992

Series 24

Date: 12/26/2003

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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