James R. Sophia

BANKERS LIFE ADVISORY SERVICES

BEACHWOOD, OH 44122

Some features on this profile are disabled

CRD#: 3222645

Professional summary

James Richard Sophia Jr, who also goes by James Richard Sophia Jr, James Richard Sophia, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Beachwood, Ohio and BANKERS LIFE SECURITIES, INC. located in Beachwood, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Richard Sophia Jr | James Richard Sophia

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) - RIA

Click below to view James Richard Sophia Jr'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

February 4, 2026 - Present

BANKERS LIFE ADVISORY SERVICES, INC.

Office #1: 25101 Chagrin Boulevard, Ste 170, Beachwood, OH 44122

RIA

CRD#: 281285

BEACHWOOD, OH

Current

February 11, 2026 - Present

BANKERS LIFE SECURITIES, INC.

Office #1: 25101 Chagrin Boulevard Ste 170, Beachwood, OH 44122

CRD#: 173962

Beachwood, OH

Past

January 24, 2025 - March 19, 2025

VANDERBILT ADVISORY SERVICES

RIA

CRD#: 116537

Shaker Heights, OH

Past

January 10, 2025 - March 19, 2025

VANDERBILT SECURITIES, LLC

CRD#: 5953

Shaker Heights, OH

Past

January 25, 2019 - January 28, 2025

MORGAN STANLEY

RIA

CRD#: 149777

Pepper Pike, OH

Past

January 18, 2019 - January 28, 2025

MORGAN STANLEY

CRD#: 149777

Pepper Pike, OH

Past

October 9, 2007 - January 24, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PEPPER PIKE, OH

Past

October 5, 2007 - January 24, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PEPPER PIKE, OH

Past

January 14, 2003 - October 16, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CLEVELAND, OH

Past

October 31, 2002 - October 16, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CLEVELAND, OH

Past

June 10, 1999 - November 6, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 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.

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

IAR

Ohio
(2/4/2026)

Ohio
(2/11/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/28/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE | BL ADVISORY SERVICES, INC | BANKERS LIFE ADVISORY SERVICES, INC.

CRD#: 281285 / SEC#: 801-106953

RIA

Registered Investment Advisory firm - (11/18/2015 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

303 E. Wacker Drive Ste 500, Chicago, IL 60601

Mailing Address

Phone number

(844) 553-9083

Established

Firm type

Fiscal year end

# of Employees

384

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BLAS PORTFOLIOS WRAP FEE BROCHURE AS OF 021226 (2/12/2026)

BLAS-ADV-PART2A 03012025 (2/28/2025)

BLAS WRAP BROCHURE 03012025 (2/28/2025)

Regulatory assets under management

Total Number of Accounts	14,938
AUM (Assets Under Management)	$ 1,943,847,697

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.

Similar Advisors

Boris Kagarlitskiy

KEY INVESTMENT SERVICES LLC

IAR

University Heights, OH

James Magyari

COMMONWEALTH FINANCIAL NETWORK

IAR

Solon, OH

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James R. Sophia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Sophia Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANKERS LIFE SECURITIES, INC.

VANDERBILT ADVISORY SERVICES

VANDERBILT SECURITIES, LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

BANKERS LIFE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/28/1999

Series 63

Date: 6/18/1999

SIE

Date: 10/1/2018

Series 7

Date: 6/9/1999

FINRA

Current Firm

BANKERS LIFE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BANKERS LIFE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors