Robert E. James

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CRD#: 257103

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.

Robert Ernest James, who also goes by Bob James, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1973. Robert had worked at 8 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob James

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

July 20, 2011 - February 28, 2022

CHAPMAN & CHAPMAN ADVISORS LLC

RIA

CRD#: 122655

TWINSBURG, OH

Past

October 31, 2002 - July 8, 2011

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAGAMORE HILLS, OH

Past

October 24, 2002 - July 8, 2011

LPL FINANCIAL LLC

CRD#: 6413

SAGAMORE HILLS, OH

Past

October 29, 1998 - September 11, 2002

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

March 4, 1997 - October 28, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 17, 1997 - March 12, 1997

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

February 15, 1995 - December 31, 1996

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

June 1, 1994 - February 17, 1995

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

March 7, 1973 - February 16, 1995

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

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".

CHAPMAN & CHAPMAN ADVISORS LLC

CRD#: 122655 / SEC#: 801-121327

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

Ohio

Registered Investment Advisory firm - (10/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 4/16/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 3/3/1973

Registered Representative Examination

Current Firm

CHAPMAN & CHAPMAN ADVISORS LLC

CRD#: 122655 / SEC#: 801-121327

RIA

Registered Investment Advisory firm - (5/28/2021 Approved)

Ohio

Registered Investment Advisory firm - (10/4/2021 Terminated)

Texas

Registered Investment Advisory firm - (9/23/2021 Terminated)

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Contact information

Main Address

33 River Street Suite 3, Chagrin Falls, OH 44022

Mailing Address

Phone number

(440) 287-7603

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHAPMAN ADV PART 2A (3/7/2025)

Regulatory assets under management

Total Number of Accounts	449
AUM (Assets Under Management)	$ 130,890,017

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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Advisor Monitoring

Firm Stability Insights

Robert E. James

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SII INVESTMENTS, INC.

VOYA FINANCIAL ADVISORS, INC.

VESTAX SECURITIES CORPORATION

SECURIAN FINANCIAL SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

CHAPMAN & CHAPMAN ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/16/1996

Series 1

Date: 3/3/1973

Current Firm

CHAPMAN & CHAPMAN ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHAPMAN & CHAPMAN ADVISORS LLC

TRUST BUT VERIFY

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