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JO

James J. Owen

BASEROCK CAPITAL
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4424770
JO

Professional summary

James Jeffrey Owen, who also goes by Jim Owen, is a registered financial professional currently at BASEROCK CAPITAL, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Owen

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) - BD

Click below to view James Jeffrey Owen'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

April 30, 2025 - Present

BASEROCK CAPITAL, LLC

Office #1: 233 S. Wacker Drive Suite 4400, Chicago, IL 60606
BD
CRD#: 328592
Chicago, IL
Past

August 13, 2019 - November 19, 2024

STOUT CAPITAL, LLC

BD
CRD#: 127302
CHICAGO, IL
Past

April 9, 2018 - July 1, 2019

VERIT ADVISORS CAPITAL MARKETS LLC

BD
CRD#: 170833
CHICAGO, IL
Past

May 20, 2005 - July 21, 2017

HOULIHAN LOKEY CAPITAL, INC.

BD
CRD#: 17708
CHICAGO, IL
Past

November 1, 2003 - May 13, 2005

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

July 23, 2001 - November 1, 2003

HARRIS NESBITT CORP.

BD
CRD#: 7299
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Colorado
(4/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/8/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BC
BASEROCK CAPITAL, LLC
BASEROCK CAPITAL, LLC

CRD#: 328592 / SEC#: , 8-71191

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1144 15th Street Suite 3290, Denver, CO 80202
Mailing Address
1144 15th Street Suite 3290, Denver, CO 80202
Phone number
(720) 853-4231
Established
Colorado since 10/06/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BASEROCK PARTNERS, LLCSOLE MEMBER
FLEISCHMAN, SAMUEL JAYCCO1860709
STEINEGGER, JOHN FRANKFINOP4008490
STEINEGGER, JOHN FRANK IIICEO4008490

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.

Company Information

BASEROCK CAPITAL, LLC

CRD#: 328592Chicago, IL 60606

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