JJ
James M. Jiao
INSIGNEO ADVISORY SERVICES
El Cajon, CA 92020
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CRD#: 2544249
JJ
Professional summary
James Michael Jiao, CIMA® is a registered financial advisor currently at INSIGNEO ADVISORY SERVICES, LLC located in El Cajon, California and INSIGNEO SECURITIES, LLC located in El Cajon, California.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.Transatlantic Investment Partners LLC- located and registered in El Cajon, CA., also known as TAIP; Managing Partner; Investment related; 40 hours per week devoted to this activity; 30 hours during trading hours. TAIP is also an approved Doing Business As (DBA) that is used to conduct his Investment Advisor business through the Insigneo. TAIP is also registered as a Commodity Trading Advisor with the National Futures Association (NFA.) Note: TAIP and Mr. Jiao does not conduct Commodities or Futures business through Insigneo). He is registered with NFA and holds a Series 3 license (not active with Insigneo). 2.Erudito Training Systems (ETS)- James is the Sole Proprietor of company established in Santee, San Diego, CA. The OBA provides instruction and firearms training, safety, and aviation training. ETS also offers introductory wealth management courses on a one-one basis. 3 hours per week devoted to this activity, Zero hours per week devoted during trading hours; compensation is through training courses approximately $1500 in a 12-month period. 4.Flying Bull Aviation LLC - James is Managing Member and 75% owner of an entity with its principal address in Kendall, Miami, FL, and its mailing address in Santee, CA. Flying Bull Aviation owns an aircraft that Mr. Jiao manages, coordinating maintenance, inspection, repairs, upgrades, and administrative work for this aircraft. Mr. Jiao receives no compensation for these activities. 2 hours per week devoted to outside trading hours and zero hours devoted during trading hours. 5. REAL ESTATE_Investment related, No securities related / Address: Wiesbaden, Germany / Nature: 1) ownership of real estate holdings for income purposes, 2) management of family-owned real estate property. / Position: 1) Owner, 2) Manager / Start date: 08/2008 / Devoted: 10 hrs/month and 0 hrs/month during trading hours. 6.Insigneo Advisory Services. Senior Vice President since January 1, 2023. Spends 40 hours per week and 40 hours a week during trading hours. Compensation is based on advisory fees.
CRS (Client Relationship Summary) - RIA
Click below to view James Michael Jiao'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®
Experience
Current
January 4, 2023 - Present
INSIGNEO ADVISORY SERVICES, LLC
Office #1: 1920 North Marshall Avenue Suite 102, El Cajon, CA 92020RIA
CRD#: 282589
El Cajon, CA
Current
January 3, 2023 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1920 N. Marshall Avenue #102, El Cajon, CA 92020BD
CRD#: 29249
El Cajon, CA
Past
October 6, 2020 - December 31, 2022
UCAP AMERICAS
RIA
CRD#: 170846
Santee, CA
Past
October 29, 2019 - December 31, 2022
UCAP AMERICAS
BD
CRD#: 173643
El Cajon, CA
Past
June 21, 2019 - September 30, 2020
ADI DASSLER FAMILY OFFICE LLC
RIA
CRD#: 301044
El Cajon, CA
Past
January 14, 2019 - June 5, 2019
ADI DASSLER INTERNATIONAL FAMILY OFFICE USA LIMITED PARTNERSHIP
RIA
CRD#: 288134
San Diego, CA
Past
November 17, 2017 - December 31, 2018
ADI DASSLER INTERNATIONAL FAMILY OFFICE USA LIMITED PARTNERSHIP
RIA
CRD#: 288134
SANTEE, CA
Past
December 16, 2015 - November 8, 2017
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
SANTEE, CA
Past
December 8, 2015 - December 16, 2015
BOLTON SECURITIES CORPORATION
BD
CRD#: 129376
BOLTON, MA
Past
December 7, 2015 - November 1, 2017
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
San Diego, CA
Past
July 7, 1997 - April 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN DIEGO, CA
Past
July 7, 1997 - April 27, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN DIEGO, CA
Past
October 11, 1994 - July 11, 1997
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
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".
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
Registered Investment Advisory firm - (2/22/2016 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.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(1/3/2023)
IAR
California(1/4/2023)
RR
Florida(1/18/2023)
IAR
Florida(2/10/2023)
IAR
New York(1/9/2023)
IAR
Oregon(1/18/2023)
IAR
Washington(1/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INSIGNEO ADVISORY SERVICES, LLC
1202 WEALTH MANAGEMENT | TRANSATLANTIC INVESTMENT PARTNERS, LLC | THE PRIVATE WEALTH GROUP | THE BAY WEALTH GROUP | TENET GLOBAL ADVISORS | STONE CAPITAL MANAGEMENT | SAILBRIDGE WEALTH MANAGEMENT | RONIN CAPITAL | REL CAPITAL ADVISORS | PRUDENT WEALTH ADVISERS | PLUTUS PRIVATE WEALTH | PHOENIX PRIVATE CLIENT GROUP | MVR WEALTH MANAGEMENT | MVP WEALTH MANAGEMENT | LEGACY ADVISORY GROUP | INSIGNEO ADVISORY SERVICES, LLC | HONEST WEALTH, LLC | HILLGUARD WEALTH MANAGEMENT LLC | GREEN GROVE WEALTH MANAGEMENT, LLC | GLOBAL INVESTOR ADVISORY SERVICES, LLC | GAP WEALTH MANAGEMENT | FORTIS PRIVATE WEALTH ADVISORS | FIORE CAPITAL ADVISOR LLC | EMERALD WEALTH ADVISORS | DM WEALTH MANAGEMENT GROUP | DIAZ-BAZAN ASSET MANAGEMENT LLC | DIAZ-BAZAN ASSET MANAGEMENT | CARRILLO WEALTH MANAGEMENT | BORRELI CAPITAL MANAGEMENT | BAYFRONT GROUP, LLC | AVENTURA PRIVATE WEALTH, LLC | ARS PRIVATE WEALTH MANAGEMENT, LLC | AIRES CAPITAL ADVISORS, LLC | AC GLOBAL INVESTMENT PARTNERS | A PLUS CAPITAL,LLC
CRD#: 282589 / SEC#: 801-107256
RIA
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Contact information
Main Address
1221 Brickell Avenue 27th Floor, Miami, FL 33131
Mailing Address
Phone number
(305) 373-9000
Established
Firm type
Fiscal year end
# of Employees
197
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,142 |
| AUM (Assets Under Management) | $ 3,612,629,819 |
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.
