James S. Johnson

CADE GROUP

Carmel, IN 46290-1140

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CRD#: 4124635

Professional summary

James Seth Johnson, who also goes by Jim Johnson, is a registered financial advisor currently at CADE GROUP, INC. located in Carmel, Indiana.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Johnson

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 Seth Johnson's 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

May 18, 2006 - Present

CADE GROUP, INC.

Office #1: 10293 North Meridian Street Suite 265, Carmel, IN 46290-1140

RIA

CRD#: 114970

Carmel, IN

Past

April 9, 2003 - November 19, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

INDIANAPOLIS, IN

Past

April 24, 2001 - April 17, 2003

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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.

Highlighted states indicate IAR registrations

IAR

Indiana
(5/18/2006)

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 66

Date: 4/4/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/8/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/23/2001

General Securities Representative Examination

Current Firm

CADE GROUP, INC.

CADE GROUP, INC. | VERO WEALTH | THE FINANCIAL JUNCTION

CRD#: 114970 / SEC#: 801-67664

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Indiana

Registered Investment Advisory firm - (6/27/2012 Approved)

Texas

Registered Investment Advisory firm - (3/23/2016 Conditional Restricted)

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).

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Contact information

Main Address

10293 North Meridian Street Suite 265, Carmel, IN 46290-1140

Mailing Address

Phone number

(317) 848-7110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	282
AUM (Assets Under Management)	$ 73,000,000

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 S. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Seth Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADE GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/4/2006

Series 63

Date: 6/8/2001

Series 7

Date: 4/23/2001

Current Firm

CADE GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CADE GROUP, INC.

TRUST BUT VERIFY

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