AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

James A. Giacin

BENEFIT FINANCE SECURITIES
St. Louis, MO 63141-7164
Some features on this profile are disabled
CRD#: 2612500
JG

Professional summary

James Adam Giacin, who also goes by Jim Giacin, is a registered financial professional currently at BENEFIT FINANCE SECURITIES, LLC located in St. Louis, Missouri.

James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Giacin

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) - BD

Click below to view James Adam Giacin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 1, 2023 - Present

BENEFIT FINANCE SECURITIES, LLC

Office #1: Six Cityplace Drive Suite 400, St. Louis, MO 63141-7164
BD
CRD#: 45113
St. Louis, MO
Past

September 25, 2019 - May 14, 2021

STRATFORD PARTNERS

BD
CRD#: 164954
NEW YORK, NY
Past

March 6, 2018 - September 25, 2019

BENEFIT FINANCE SECURITIES, LLC

BD
CRD#: 45113
SCOTTSDALE, AZ
Past

September 9, 2016 - January 9, 2018

APOLLO GLOBAL SECURITIES, LLC

BD
CRD#: 153502
NEW YORK, NY
Past

September 4, 2014 - June 22, 2016

STANDARD LIFE INVESTMENTS SECURITIES LLC

BD
CRD#: 157233
BOSTON, MA
Past

January 8, 2004 - August 15, 2014

BENEFIT FINANCE SECURITIES, LLC

BD
CRD#: 45113
ST. LOUIS, MO
Past

December 9, 1998 - January 7, 2004

BFP SECURITIES, LLC

BD
CRD#: 44731
SCOTTSDALE, AZ
Past

May 19, 1995 - September 15, 1997

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX

State Registrations and Notice Filings

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

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
Connecticut
(5/24/2023)
RR
Illinois
(5/24/2023)
RR
Indiana
(5/24/2023)
RR
Iowa
(5/24/2023)
RR
Maryland
(5/24/2023)
RR
Massachusetts
(5/24/2023)
RR
Michigan
(6/13/2023)
RR
Minnesota
(5/24/2023)
RR
Missouri
(1/1/2023)
RR
Nebraska
(5/24/2023)
RR
New Jersey
(5/24/2023)
RR
New York
(5/24/2023)
RR
Pennsylvania
(5/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/5/2004
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 3
Date: 1/15/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/2/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/17/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BF
BENEFIT FINANCE SECURITIES, LLC
BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113 / SEC#: , 8-50982

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
14605 N 73rd St, Scottsdale, AZ 85260
Mailing Address
14605 N 73rd St, Scottsdale, AZ 85260
Phone number
(480) 676-6400
Established
Missouri since 12/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANCORP SERVICES, LLCDIRECT OWNER
DOHERTY, ERIN ECCO4576409

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

BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113St. Louis, MO 63141-7164

TRUST BUT VERIFY

Monitor James Giacin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Aaron Andrew Ungerer
Aaron UngererAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Frontenac, MO
Dalton J Stockton
Dalton StocktonAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
ST. LOUIS, MO
ME
Michael EtheridgeAdvisorCheck Check Mark
CORNERSTONE WEALTH MANAGEMENT, LLC
IAR
RR
ST. PETERS, MO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.