JB
James C. Broach
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CRD#: 3263290
JB
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 Christopher Broach was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
January 12, 2015 - November 14, 2019
KAYNE ANDERSON CAPITAL ADVISORS LP
RIA
CRD#: 104536
LOS ANGELES, CA
Past
July 20, 2005 - December 31, 2014
KAYNE ANDERSON CAPITAL ADVISORS LP
RIA
CRD#: 104536
HOUSTON, TX
Past
March 17, 2005 - December 2, 2005
KA ASSOCIATES, LLC
BD
CRD#: 32029
LOS ANGELES, CA
Past
July 9, 2003 - February 28, 2005
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
July 2, 2002 - September 5, 2002
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 13, 2000 - July 11, 2001
STEPHENS
BD
CRD#: 3496
LITTLE ROCK, AR
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".
KA
KAYNE ANDERSON CAPITAL ADVISORS LP
KA CORE REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KPEIF II GP, LLC (RELYING ADVISER) | KPEIF GP, LLC (RELYING ADVISER) | KCOF SLP, L.P. (RELYING ADVISER) | KAYNE SOLUTIONS FUND MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT III MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT II MANAGER, L.P. (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE PARTNERS FUND IV MANAGER, L.P. (RELYING ADVISER) | KAYNE PARTNERS FUND III MANAGER, L.P. (RELYING ADVISER) | KAYNE NEWROAD GP, L.P. (RELYING ADVISER) | KAYNE MUNICIPAL OPPORTUNITY INVESTORS, L.P. (RELYING ADVISER) | KAYNE MEZZANINE ADVISORS, LLC (RELYING ADVISOR) | KAYNE KS CREDIT GP, LLC (RELYING ADVISER) | KAYNE CLO PARTNERS I GP, LLC (RELYING ADVISER) | KAYNE ANDERSON SENIOR CREDIT ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS V, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS IV, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON CAPITAL ADVISORS LP | KASLA, LLC (RELYING ADVISER) | KAMP INVESTMENT MANAGEMENT, LLC (RELYING ADVISER) | KAMOB MANAGER, LLC (RELYING ADVISER) | KAEFTX, L.P. (RELYING ADVISER) | KAEFTX VIII, LLC (RELYING ADVISER) | KAEFTX VII, LLC (RELYING ADVISER) | KAEFTX VI, LLC (RELYING ADVISER) | KAEFTX V, LLC (RELYING ADVISER) | KAEFTX NG, LLC (RELYING ADVISER) | KAEFTX IV, LLC (RELYING ADVISER) | KADM MANAGER, LLC (RELYING ADVISER) | KA TJC, LLC (RELYING ADVISOR) | KA PRIVATE ADVISORS, L.P. (RELYING ADVISER)
CRD#: 104536 / SEC#: 801-46991
RIA
Registered Investment Advisory firm - (8/15/1994 Approved)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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
KA
KAYNE ANDERSON CAPITAL ADVISORS LP
KA CORE REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KPEIF II GP, LLC (RELYING ADVISER) | KPEIF GP, LLC (RELYING ADVISER) | KCOF SLP, L.P. (RELYING ADVISER) | KAYNE SOLUTIONS FUND MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT III MANAGER, L.P. (RELYING ADVISER) | KAYNE SENIOR CREDIT II MANAGER, L.P. (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE PARTNERS FUND IV MANAGER, L.P. (RELYING ADVISER) | KAYNE PARTNERS FUND III MANAGER, L.P. (RELYING ADVISER) | KAYNE NEWROAD GP, L.P. (RELYING ADVISER) | KAYNE MUNICIPAL OPPORTUNITY INVESTORS, L.P. (RELYING ADVISER) | KAYNE MEZZANINE ADVISORS, LLC (RELYING ADVISOR) | KAYNE KS CREDIT GP, LLC (RELYING ADVISER) | KAYNE CLO PARTNERS I GP, LLC (RELYING ADVISER) | KAYNE ANDERSON SENIOR CREDIT ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE DEBT ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS V, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS IV, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS III, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON REAL ESTATE ADVISORS I, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS, LLC (RELYING ADVISER) | KAYNE ANDERSON GROWTH ADVISORS II, LLC (RELYING ADVISER) | KAYNE ANDERSON CAPITAL ADVISORS LP | KASLA, LLC (RELYING ADVISER) | KAMP INVESTMENT MANAGEMENT, LLC (RELYING ADVISER) | KAMOB MANAGER, LLC (RELYING ADVISER) | KAEFTX, L.P. (RELYING ADVISER) | KAEFTX VIII, LLC (RELYING ADVISER) | KAEFTX VII, LLC (RELYING ADVISER) | KAEFTX VI, LLC (RELYING ADVISER) | KAEFTX V, LLC (RELYING ADVISER) | KAEFTX NG, LLC (RELYING ADVISER) | KAEFTX IV, LLC (RELYING ADVISER) | KADM MANAGER, LLC (RELYING ADVISER) | KA TJC, LLC (RELYING ADVISOR) | KA PRIVATE ADVISORS, L.P. (RELYING ADVISER)
CRD#: 104536 / SEC#: 801-46991
RIA
Registered Investment Advisory firm - (8/15/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
717 Texas Avenue 22nd Floor, Houston, TX 77002
Mailing Address
Phone number
(310) 282-7900
Established
Firm type
Fiscal year end
# of Employees
302
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 119 |
| AUM (Assets Under Management) | $ 30,458,732,567 |
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.
