JB
James J. Barclay
ADVISORS ASSET MANAGEMENT
Tinley Park, IL
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CRD#: 2600457
JB
Professional summary
James Joseph Barclay is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Tinley Park, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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: North Square Investments LLC, Investment Related, Wholesaler, Distribution of SMA and Funds, Chicago, IL, Managing Director Began 07/17/2018, Full Time Employer
2: James Barclay is also registered with IMST Distributoes, LLC as a Registered Representative, as noted in the "Employment History" section of this filing.
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Barclay's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Joseph Barclay'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
September 11, 2023 - Present
ADVISORS ASSET MANAGEMENT, INC.
RIA
BD
CRD#: 46727
Tinley Park, IL
Current
September 11, 2023 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 28025 Ih-10 West, Boerne, TX 78006RIA
BD
CRD#: 46727
Boerne, TX
Past
May 11, 2019 - November 8, 2023
NORTH SQUARE INVESTMENTS, LLC
RIA
CRD#: 294355
CHICAGO, IL
Past
December 12, 2018 - September 20, 2022
COMPASS DISTRIBUTORS, LLC
BD
CRD#: 172662
Chicago, IL
Past
July 20, 2015 - December 31, 2018
IMST DISTRIBUTORS, LLC
BD
CRD#: 130745
Chicago, IL
Past
July 8, 2015 - August 15, 2018
OAK RIDGE INVESTMENTS, LLC
RIA
CRD#: 107066
CHICAGO, IL
Past
November 7, 2000 - July 2, 2015
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
CHICAGO, IL
Past
June 28, 2000 - July 2, 2015
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
TINLEY PARK, IL
Past
October 4, 1999 - July 2, 2015
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
CHICAGO, IL
Past
September 15, 1998 - September 27, 1999
CALAMOS FINANCIAL SERVICES LLC
BD
CRD#: 19850
NAPERVILLE, IL
Past
February 25, 1997 - August 27, 1998
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
January 20, 1996 - February 18, 1997
FOCUSED INVESTMENTS L.L.C.
BD
CRD#: 37532
CHICAGO, IL
Past
June 5, 1995 - February 11, 1997
WINTRUST INVESTMENTS LLC
BD
CRD#: 875
CHICAGO, IL
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Illinois(9/11/2023)
IAR
Illinois(9/11/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
