James F. Buckley

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CRD#: 34504

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 F Buckley, who also goes by James Francis Buckley Jr, Jim Buckley, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1968. James had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 5, PC, Series 41, Series 000, Series 1, Series 24, Series 4 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James Francis Buckley Jr | Jim Buckley

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.

Name: Archdiocese of San Francisco Address: Peter Yorke Way, San Francisco, CA Investment-related: Yes Nature of the Business:religious organization Role: Member of the Investment Committee Description of Duties: providing general asset allocation and manager due diligence advice Start Date: 01/01/2015 Number of hours each month: 5 hours Number of hours during trading: None

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

March 22, 2024 - April 23, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

San Francisco, CA

Past

September 29, 2023 - April 23, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

San Francisco, CA

Past

July 12, 2010 - March 21, 2025

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

SAN FRANCISCO, CA

Past

August 27, 2004 - September 30, 2010

FIRST REPUBLIC WEALTH ADVISORS, LLC

RIA

CRD#: 132035

SAN FRANCISCO, CA

Past

August 24, 2004 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

SAN FRANCISCO, CA

Past

January 16, 2001 - September 2, 2004

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

SAN FRANCISCO, CA

Past

January 13, 2001 - September 2, 2004

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 1, 1997 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

April 18, 1995 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Past

April 27, 1987 - May 2, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

May 25, 1982 - October 10, 1983

DAVIS, SKAGGS & CO., INC.

CRD#: 208

Past

April 19, 1982 - June 11, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 30, 1980 - May 7, 1982

BECKER PARIBAS INCORPORATED

CRD#: 7635

Past

January 2, 1980 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Past

September 12, 1978 - April 25, 1980

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

November 14, 1972 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

CRD#: 6361

Past

November 12, 1968 - November 14, 1972

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

CRD#: 243

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".

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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

IAR

Series 65

Date: 10/31/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/16/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 8/30/1983

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/2/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 41

Date: 3/17/1977

NYSE Allied Member Examination

General Industry/Product Exam

Series 000

Date: 4/2/1965

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 3/1/1962

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 1/13/1977

Registered Options Principal Examination

Principal/Supervisory Exam

Series 40

Date: 5/18/1972

Registered Principal Examination

Current Firm

J.P. MORGAN SECURITIES LLC

CRD#: 79 / SEC#: 801-3702, 8-35008

RIA

Registered Investment Advisory firm - SEC (4/3/1965 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

270 Park Avenue, New York, NY 10017

Mailing Address

1111 Polaris Pkwy Floor 3f, Columbus, OH 43240

Phone number

(212) 272-2000

Established

Delaware since 08/12/1985

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

8,327

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (CWM) (11/5/2025)

DEFINED CONTRIBUTION PLAN CONSULTING SERVICES PROGRAM BROCHURE (11/5/2025)

FORM ADV PART 2A APPENDIX 1 WRAP FEE PROGRAM BROCHURE J.P. MORGAN MANAGED INVESTMENT SERVICES PROGRAM (11/5/2025)

WRAP FEE PROGRAM BROCHURE (JPMA) (11/5/2025)

J.P. MORGAN PERSONAL ADVISORS PROGRAM (11/5/2025)

JPMORGAN GUIDED ANNUITY PROGRAM (11/5/2025)

Direct owners and executive officers

Name	Position	CRD#
J.P. MORGAN BROKER-DEALER HOLDINGS INC.	MEMBER
AIDELSON, DAVID	CHIEF LEGAL OFFICER	7884539
ALAOUI ABDALLAOUI, RACHID	CEO, CHAIR, ELECTED MANAGER	7122597
BISESI, BRIAN J	ELECTED MANAGER	3090554
CHOI, MICHAEL	CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER	6597789
COLLINS, JAMES MICHAEL	CHIEF FINANCIAL OFFICER	2725065
DEMPSEY, PATRICK PAUL	TREASURER	2830362
ENGLANDER, ADAM F	ELECTED MANAGER	2941059
FOLEY, KEVIN J	ELECTED MANAGER	4012244
KLION, ROGER	CHIEF OPERATING OFFICER	5082261
MCCRUM, CARRIE	ELECTED MANAGER	7675791
SABLE, MATTHEW D	ELECTED MANAGER	4835849
TEPPER, ERIC D.	ELECTED MANAGER	2242377
VIENICK, PAUL	ELECTED MANAGER	2212982
VILLWOCK, DAVID S	CHIEF COMPLIANCE OFFICER - BROKER DEALER	8071637

Regulatory assets under management

Total Number of Accounts	1,055,400
AUM (Assets Under Management)	$ 352,605,441,286

Disclosures

Regulatory Event	392
Civil Event	9
Arbitration	143

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
10/25/2024	Cover Page	Report
11/27/2023	Cover Page	Report
01/03/2023	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 F. Buckley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC WEALTH ADVISORS, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

ALEX. BROWN & SONS INCORPORATED

CREDIT SUISSE SECURITIES (USA) LLC

DAVIS, SKAGGS & CO., INC.

LEHMAN BROTHERS INC.

BECKER PARIBAS INCORPORATED

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

UBS FINANCIAL SERVICES INC.

BLYTH EASTMAN DILLON & CO. INCORPORATED

EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED

Primary Firm SEC Registration

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/31/1995

Series 63

Date: 6/23/1982

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 1/16/1984

Series 5

Date: 8/30/1983

PC

Date: 9/2/1977

Series 41

Date: 3/17/1977

Series 000

Date: 4/2/1965

Series 1

Date: 3/1/1962

Series 24

Date: 1/2/2023

Series 4

Date: 1/13/1977

Series 40

Date: 5/18/1972

Current Firm

J.P. MORGAN SECURITIES LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

J.P. MORGAN SECURITIES LLC

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