JE
James B. Erben
ERBEN ASSOCIATES
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 2284879
JE
Professional summary
James Beaton Erben, who also goes by Jim Erben, is a registered financial advisor currently at ERBEN ASSOCIATES, LLC located in Austin, Texas and M HOLDINGS SECURITIES, INC. located in Austin, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Erben
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) ERBEN ASSOCIATES LLC, 300 BEARDSLEY LANE, SUITE D-200, AUSTIN, TX 78746. I AM APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS. 2) STATEN CREEK RANCH; 300 BEARDSLEY LANE, SUITE D-200, AUSTIN, TX 78746. LIMITED PTNER 5 HRS/MO CAPITAL CONTRIBUTIONS, VOTING AND DIRECTOR OF RANCH FOR RECREATIONAL PURPOSES ONLY SINCE 2003 3) MONKEY JBE LLC; 300 BEARDSLEY LANE, STE D-200, AUSTIN, TX 78746; JANUARY 2017; MANAGING MEMBER; 5 HOURS/MONTH, 2 HOURS/MONTH DURING BUSINESS HOURS; NO COMPENSATION. 4) VISTAGE; SPEAKER; SPEAKING PRESENTATIONS; INVESTMENT RELATED; 10 HOURS/MONTH, 10 HOURS/MONTH DURING BUSINESS HOURS; 02/01/2009; 4840 EASTGATE MALL, SAN DIEGO, CA 92121; SPEAKER/PRESENTED TO MEMBER GROUPS. NO SECURITIES ARE DISCUSSED DURING THE PRESENTATION. 5) EA PROFESSIONAL SERVICES, LLC; 300 BEARDSLEY LANE, SUITE D-200, AUSTIN, TX 78746; 02/01/2022; MANAGING MEMBER; ENTITY WILL OWN APPROVED PASSIVE INVESTMENTS; NOT INVESTMENT RELATED; 1 HOUR/MONTH; 1 HOUR/MONTH DURING BUSINESS HOURS; OWNERSHIP. 6) ROB ROY OFFICE COMPLEX; 300 Beardsley Lane, Austin TX 78746; Office Complex Board Member; Not Investment Related; Board Member; Handing issues, budget items, etc; 03/01/2023; 2 hr/mo; 2 hr/mo during trading hours 7) BEE CAVE ACQUISITION GROUP LLC; 300 Beardsley Lane, Suite D-201, Austin TX 78746; Building Ownership; Not Investment Related; Co-Managing Member; Owner; 12/10/2010; 12 hr/mo; 3 hr/mo during trading hours 8) ERBEN ASSOCIATES LLC; 300 Beardsley Lane, Suite D200, Austin TX 78746; Registered Investment Adviser; Investment Related; President / Owner; Business development, client management, strategic planning, SMA investment management for PPLI using SALI as an admin; 02/25/2011; 40 hr/mo; 40 hr/mo during trading hours. 9) EA M&A LLC; 300 Beardsley Lane, Suite D200, Austin TX 78746; entity ownership; Investment related; President; The company will assist other companies with the sale of their business to 3rd parties; 1/01/2024; 40 hr/mo; 20 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view James Beaton Erben'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
February 25, 2011 - Present
ERBEN ASSOCIATES, LLC
Office #1: 300 Beardsley Lane, Bldg. D Suite 200, Austin, TX 78746RIA
CRD#: 148703
AUSTIN, TX
Current
June 15, 2009 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 300 Beardsley Lane Suite D-200, Austin, TX 78746RIA
BD
CRD#: 43285
Austin, TX
Past
February 11, 2009 - December 31, 2010
ERBEN ASSOCIATES, LLC
RIA
CRD#: 148703
AUSTIN, TX
Past
November 8, 1999 - June 22, 2009
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
AUSTIN, TX
Past
December 9, 1992 - June 22, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
AUSTIN, 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".
EA
ERBEN ASSOCIATES, LLC
ERBEN ASSOCIATES, LLC
CRD#: 148703 / SEC#: 801-114578
RIA
Registered Investment Advisory firm - (1/28/2019 Approved)Georgia
Registered Investment Advisory firm - (3/6/2019 Terminated)Puerto Rico
Registered Investment Advisory firm - (2/4/2019 Terminated)Texas
Registered Investment Advisory firm - (2/4/2019 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
California(6/15/2009)
RR
Colorado(1/18/2023)
RR
Connecticut(6/15/2009)
RR
Delaware(10/15/2024)
RR
Florida(12/14/2020)
RR
Georgia(6/15/2009)
IAR
Georgia(4/29/2011)
RR
Illinois(9/29/2022)
RR
Massachusetts(8/16/2024)
RR
Michigan(10/15/2024)
RR
Missouri(10/18/2022)
RR
Montana(8/19/2024)
RR
Nebraska(10/15/2024)
RR
New Jersey(8/16/2024)
RR
New Mexico(6/15/2009)
RR
New York(1/8/2025)
RR
North Carolina(2/8/2018)
RR
Oklahoma(12/20/2022)
RR
Oregon(4/19/2021)
RR
Pennsylvania(12/14/2020)
RR
South Carolina(6/15/2009)
RR
Texas(6/15/2009)
IAR
Texas(2/25/2011)
RR
Virginia(9/4/2024)
RR
Wisconsin(1/13/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
ERBEN ASSOCIATES, LLC
ERBEN ASSOCIATES, LLC
CRD#: 148703 / SEC#: 801-114578
RIA
Registered Investment Advisory firm - (1/28/2019 Approved)Georgia
Registered Investment Advisory firm - (3/6/2019 Terminated)Puerto Rico
Registered Investment Advisory firm - (2/4/2019 Terminated)Texas
Registered Investment Advisory firm - (2/4/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 Beardsley Lane, Bldg. D Suite 200, Austin, TX 78746
Mailing Address
Phone number
(512) 402-0250
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 335,339,216 |
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.
