James M. Dean
Professional summary
James M Dean, who also goes by James Michael Dean, James M. Dean, is a registered financial advisor currently at GUARDANT WEALTH ADVISORS LLC located in Miami, Florida.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James M Dean's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2025 - Present
GUARDANT WEALTH ADVISORS LLC
Office #1: 848 Brickell Avenue Suite, Ph5, Miami, FL 33131March 23, 2022 - March 22, 2024
BCI SECURITIES, INC.
October 28, 2016 - January 8, 2022
J.P. MORGAN SECURITIES LLC
January 6, 2016 - January 8, 2022
J.P. MORGAN SECURITIES LLC
July 14, 2009 - January 19, 2016
CREDIT SUISSE SECURITIES (USA) LLC
July 31, 1993 - April 15, 2009
CITIGROUP GLOBAL MARKETS INC.
August 6, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/15/2025)
Exams
Series 8
Date: 7/15/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GUARDANT WEALTH ADVISORS LLC
CRD#: 331392 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 114,000 |
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.
Company Information
GUARDANT WEALTH ADVISORS LLC
CRD#: 331392Miami, FL 33131TRUST BUT VERIFY
Monitor James Dean
Get automatic monthly alerts on:
