James M. Uren

PHASE III ADVISORY SERVICES, LTD

BUFFALO GROVE, IL 60089

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CRD#: 4428814

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 Frankfort, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Mason Uren'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®

CFP^®

Certified Financial Planner

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 60089

RIA

CRD#: 122959

BUFFALO GROVE, IL

Current

August 16, 2001 - Present

OSAIC WEALTH, INC.

Office #1: 15 Oak Street Suite 2d, Frankfort, IL 60423

RIA

CRD#: 23131

Frankfort, IL

Past

October 2, 2009 - March 19, 2015

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BUFFALO GROVE, IL

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".

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)

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).

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.

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

Arizona
(2/20/2024)

Arkansas
(4/2/2018)

California
(5/9/2003)

Colorado
(11/9/2004)

Florida
(10/23/2015)

Georgia
(1/8/2026)

Idaho
(1/17/2006)

Illinois
(9/20/2001)

IAR

Illinois
(1/2/2002)

Indiana
(2/9/2022)

Kansas
(11/4/2010)

Kentucky
(1/17/2002)

Maryland
(12/3/2018)

Michigan
(2/15/2002)

Mississippi
(9/7/2017)

New Jersey
(5/31/2024)

North Carolina
(3/6/2009)

Oregon
(9/27/2019)

Pennsylvania
(1/13/2026)

South Carolina
(7/8/2016)

Texas
(9/7/2022)

IAR

Texas
(4/12/2024)

Washington
(8/27/2010)

Wisconsin
(9/26/2002)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PHASE III ADVISORY SERVICES, LTD ADV BROCHURE (10/17/2025)

Regulatory assets under management

Total Number of Accounts	1,297
AUM (Assets Under Management)	$ 162,217,520

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 M. Uren

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Mason Uren's CRS (Customer Relationship Summary).

Certified licenses

Experience

PHASE III ADVISORY SERVICES, LTD

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

PHASE III ADVISORY SERVICES, LTD

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/15/2001

FINRA

Current Firm

PHASE III ADVISORY SERVICES, LTD

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHASE III ADVISORY SERVICES, LTD

TRUST BUT VERIFY

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