James D. Taliaferro

CLEAR HARBOR ASSET MANAGEMENT

Stamford, CT 06901

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CRD#: 442139

Professional summary

James Denham Taliaferro is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1969. James has worked at 8 firms and has passed the PC, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Denham Taliaferro'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 1, 2023 - Present

CLEAR HARBOR ASSET MANAGEMENT, LLC

Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901

RIA

CRD#: 152242

Stamford, CT

Past

August 28, 2021 - March 31, 2023

SECURITY ASSET MANAGEMENT, INC.

RIA

CRD#: 107162

NEW YORK, NY

Past

September 26, 1978 - July 9, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 27, 1978 - July 6, 1990

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Past

January 15, 1975 - September 26, 1978

WHITE, WELD & CO. INCORPORATED

CRD#: 6802

Past

April 25, 1973 - January 15, 1975

WHITE, WELD & CO., INCORPORATED

CRD#: 889

Past

July 22, 1971 - March 14, 1973

EDWARDS & HANLY

CRD#: 6554

Past

September 17, 1969 - August 19, 1971

DOMIK CORP.

CRD#: 223

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".

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(2/3/2023)

IAR

New York
(2/1/2023)

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

General Industry/Product Exam

PC

Date: 9/7/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/15/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 11/17/1978

Registered Principal Examination

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

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Contact information

Main Address

263 Tresser Blvd. Suite 1502, Stamford, CT 06901

Mailing Address

Phone number

(212) 867-7310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEAR HARBOR ASSET MANAGEMENT ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,667
AUM (Assets Under Management)	$ 1,742,800,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
01/06/2023	Cover Page	Report
04/28/2022	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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James D. Taliaferro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Denham Taliaferro's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITY ASSET MANAGEMENT, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

WHITE, WELD & CO. INCORPORATED

WHITE, WELD & CO., INCORPORATED

EDWARDS & HANLY

DOMIK CORP.

Primary Firm SEC Registration

CLEAR HARBOR ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

PC

Date: 9/7/1977

Series 1

Date: 9/15/1969

Series 40

Date: 11/17/1978

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEAR HARBOR ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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