James W. Mabie

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CRD#: 315550

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 William Mabie, who also goes by James W Mabie, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1970. James had worked at 5 firms and has passed the Series 63, SIE, Series 41, PC, Series 000 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James W Mabie

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 20, 2018 - May 18, 2021

CHICAGO CAPITAL, LLC

RIA

CRD#: 291624

Chicago, IL

Past

March 14, 1983 - March 14, 2018

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

July 13, 1978 - March 15, 1983

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

December 24, 1974 - July 13, 1978

BECKER SECURITIES INCORPORATED

CRD#: 6796

Past

November 4, 1970 - November 25, 1975

A. G. BECKER & CO., INCORPORATED

CRD#: 3

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".

CHICAGO CAPITAL, LLC

CRD#: 291624 / SEC#: 801-112280

RIA

Registered Investment Advisory firm - (1/11/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/9/2018 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: 6/19/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 41

Date: 6/18/1983

NYSE Allied Member Examination

General Industry/Product Exam

PC

Date: 6/3/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 000

Date: 10/23/1970

General Securities Principal Examination

Principal/Supervisory Exam

Series 40

Date: 6/11/1975

Registered Principal Examination

Current Firm

CHICAGO CAPITAL, LLC

CRD#: 291624 / SEC#: 801-112280

RIA

Registered Investment Advisory firm - (1/11/2018 Approved)

Illinois

Registered Investment Advisory firm - (8/9/2018 Terminated)

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Contact information

Main Address

135 S. Lasalle Ste. 4200, Chicago, IL 60603

Mailing Address

Phone number

(312) 429-2333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHICAGO CAPITAL LLC FORM ADV PART 2A (3/2/2025)

Regulatory assets under management

Total Number of Accounts	2,058
AUM (Assets Under Management)	$ 4,477,490,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/08/2025	Cover Page	Report

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 W. Mabie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WILLIAM BLAIR

BECKER PARIBAS INCORPORATED

BECKER SECURITIES INCORPORATED

A. G. BECKER & CO., INCORPORATED

Primary Firm SEC Registration

CHICAGO CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/19/1980

SIE

Date: 3/14/2018

Series 41

Date: 6/18/1983

PC

Date: 6/3/1977

Series 000

Date: 10/23/1970

Series 40

Date: 6/11/1975

Current Firm

CHICAGO CAPITAL, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHICAGO CAPITAL, LLC

TRUST BUT VERIFY

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