James E. Johnson

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CRD#: 2529255

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 E Johnson, who also goes by James Edward Johnson, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1994. James had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Edward Johnson

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

February 27, 2020 - June 14, 2022

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

COLUMBUS, OH

Past

February 21, 2020 - June 14, 2022

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 144426

COLUMBUS, OH

Past

March 1, 2019 - April 2, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

DUBLIN, OH

Past

February 22, 2019 - April 2, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

DUBLIN, OH

Past

June 23, 2008 - February 25, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLESTON, WV

Past

June 20, 2008 - February 25, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLESTON, WV

Past

January 26, 1998 - June 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLESTON, WV

Past

October 4, 1994 - June 24, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLESTON, WV

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".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/3/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/18/1994

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: 10/3/1994

General Securities Representative Examination

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	2

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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Firm Stability Insights

James E. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/1994

Series 63

Date: 10/18/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/3/1994

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

TRUST BUT VERIFY

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