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JT

James L. Tadeo

Some features on this profile are disabled
CRD#: 2468543
JT

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Lao Tadeo, who also goes by Jay Tadeo, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Tadeo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 21, 2014 - August 15, 2025

ANICO FINANCIAL SERVICES, INC.

BD
CRD#: 158883
GALVESTON, TX
Past

January 3, 2013 - May 8, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
WALNUT CREEK, CA
Past

December 3, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
WALNUT CREEK, CA
Past

March 23, 2011 - August 14, 2012

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

October 23, 2009 - November 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
WALNUT CREEK, CA
Past

October 23, 2009 - November 13, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

May 30, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WALNUT CREEK, CA
Past

January 3, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

October 10, 2003 - December 15, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
PLEASANT HILL, CA
Past

January 31, 1997 - October 2, 2002

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

April 27, 1994 - January 31, 1997

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/26/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AF
ANICO FINANCIAL SERVICES, INC.
ANICO FINANCIAL SERVICES, INC.

CRD#: 158883 / SEC#: , 8-68938

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
One Moody Plaza, Suite 1463, Galveston, TX 77550
Mailing Address
One Moody Plaza Suite 1463, Galveston, TX 77550
Phone number
(409) 621-7809
Established
Texas since 12/21/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN NATIONAL INSURANCE COMPANYDIRECT OWNER
LUIKART, THAD MICHAELDIRECTOR, PRESIDENT & CEO5111050
MERRILL, BRODY JASONSVP, CFO, FINOP5450137
WHITE, STACEY LEIGHAVP, CHIEF COMPLIANCE OFFICER2721039

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

ANICO FINANCIAL SERVICES, INC.

CRD#: 158883

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