JU
James M. Uren
PHASE III ADVISORY SERVICES, LTD
BUFFALO GROVE, IL 60089
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CRD#: 4428814
JU
Professional summary
James Mason Uren, CFP®, who also goes by Jim Uren, is a registered financial advisor currently at PHASE III ADVISORY SERVICES, LTD located in Buffalo Grove, Illinois and OSAIC WEALTH, INC. located in Buffalo Grove, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Uren
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.
1) PHASE III ADVISORY SERVICES, YES INVESTMENT RELATED, 1110 W. LAKE COOK ROAD, SUITE 265, BUFFALO GROVE, IL 60089, REGISTERED INVESTMENT ADVISER, FINANCIAL PLANNER & COLLEGE PLANNING, STARTED DATE 9/1/2001, 100 HOURS, 100 HOURS, PROVIDE FINANCIAL PLANNING AND INVESTMENT ADVISORY SERVICES. 2) PHASE III ADVISORY SERVICES, NON INVESTMENT RELATED, 1110 W. LAKE COOK ROAD, SUITE 265, BUFFALO GROVE, IL 60089; REGISTERED INVESTMENT ADVISER, STATUTORY AGENT, STARTED 8/1/2001, 5 HOURS, 5 HOURS,RECOMMEND AND SELL INSURANCE PRODUCTS 3) NO LONGER CHUNKY POSITION: Owner/Manager NATURE: This is a sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/12/2018 ADDRESS: 333 Pettibone St, Crown Point IN 46307, United States DESCRIPTION: Creating online content (blog posts, videos, etc.) around my personal weight loss journey and general weight loss related topics. Business revenue to be generated through affiliate marketing and product sales 4) JIM UREN POSITION: Participant NATURE: I occasionally complete a market research survey for a free report or small monetary compensation. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2018 ADDRESS: 333 Pettibone St, Crown Point IN 46307, United States DESCRIPTION: Completing an occasional survey. 5) POA FOR PARENTS POSITION: POA NATURE: Just a Power of Attorney for my parents. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2021 ADDRESS: 333 Pettibone St, Crown Point IN 46307, United States DESCRIPTION: I have Power of Attorney if my parents are unable to make their own decisions. 6) CLEAR STEPS FINANCIAL, LLC POSITION: President NATURE: This is simply an LLC set up for tax purposes so I can pay myself a salary and withdrawal additional funds that are not subject to the payroll tax. My Osaic commissions will be deposited into my personal account and then I will transfer funds into my business account. No security/advisory or any other kind of business will be conducted under this name and the general public would not know about this LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 07/22/2025 ADDRESS: 333 Pettibone St, Crown Point IN 46307, United States DESCRIPTION: The duties will involve establishing a bank account, credit card and transferring funds to my payroll company. It will also involve the typical income tracking that every advisor does for tax reporting (tracking mileage, expenses, tracking and paying for business expenses).
CRS (Client Relationship Summary) - RIA
Click below to view James Mason Uren'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®
CFP®
Start date: 2005
Experience
Current
January 2, 2002 - Present
PHASE III ADVISORY SERVICES, LTD
Office #1: 1110 W. Lake Cook Road Suite 265, Buffalo Grove, IL 60089RIA
CRD#: 122959
BUFFALO GROVE, IL
Current
August 16, 2001 - Present
OSAIC WEALTH, INC.
Office #1: 1110 W. Lake Cook Road Suite 265 A, Buffalo Grove, IL 60089RIA
BD
CRD#: 23131
Buffalo Grove, IL
Past
October 2, 2009 - March 19, 2015
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
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".
PI
PHASE III ADVISORY SERVICES, LTD
PHASE III ADVISORY SERVICES, LTD
CRD#: 122959 / SEC#: 801-63806
RIA
Registered Investment Advisory firm - (2/11/2005 Approved)Illinois
Registered Investment Advisory firm - (2/11/2005 Terminated)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.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
Arizona(2/20/2024)
RR
Arkansas(4/2/2018)
RR
California(5/9/2003)
RR
Colorado(11/9/2004)
RR
Florida(10/23/2015)
RR
Idaho(1/17/2006)
RR
Illinois(9/20/2001)
IAR
Illinois(1/2/2002)
RR
Indiana(2/9/2022)
RR
Kansas(11/4/2010)
RR
Kentucky(1/17/2002)
RR
Maryland(12/3/2018)
RR
Michigan(2/15/2002)
RR
Mississippi(9/7/2017)
RR
New Jersey(5/31/2024)
RR
North Carolina(3/6/2009)
RR
Oregon(9/27/2019)
RR
South Carolina(7/8/2016)
RR
Texas(9/7/2022)
IAR
Texas(4/12/2024)
RR
Washington(8/27/2010)
RR
Wisconsin(9/26/2002)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PHASE III ADVISORY SERVICES, LTD
PHASE III ADVISORY SERVICES, LTD
CRD#: 122959 / SEC#: 801-63806
RIA
Registered Investment Advisory firm - (2/11/2005 Approved)Illinois
Registered Investment Advisory firm - (2/11/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1110 W. Lake Cook Rd Suite 265, Buffalo Grove, IL 60089
Mailing Address
Phone number
(847) 520-5545
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,297 |
| AUM (Assets Under Management) | $ 162,217,520 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
