JT
James W. Tausz
BRADFORD FINANCIAL CENTER
Clarion, IA 50525
Some features on this profile are disabled
CRD#: 442956
JT
Professional summary
James William Tausz, AIF®, CFP®, who also goes by Jim Tausz, is a registered financial advisor currently at BRADFORD FINANCIAL CENTER located in Clarion, Iowa and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Clarion, Iowa.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Tausz
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.) THE BRADFORD FINANCIAL CENTER - OWNER/PRESIDENT, FINANCIAL PLANNER - REGISTERED INVESTMENT ADVISOR - CLARION, IA - SINCE 07/1970 - INVESTMENT RELATED 2.) BRADFORD INSURANCE - OWNER/AGENT - NON-VARIABLE INSURANCE - CLARION, IA - SINCE 05/2005 - INVESTMENT RELATED 3.) BRADFORD GROUP INC - OWNER/PRESIDENT - UMBRELLA COMPANY OVER ALL BUSINESSES, ALSO PAYROLL FOR EMPLOYEES - CLARION, IA - SINCE 12/2006 - NOT INVESTMENT RELATED 4.) BRADFORD MED. INS. OWNER/OFFICER - INS SALES, MEDICAL, DISABILITY, LIFE. LG TRM CARE, ANNUITY - SINCE 05/2005 5.) BRADFORD BUYING ALLIANCE - OWNER/OFFICER - DISCOUNT BUYING THRU WEBSITE - SINCE 11/2003 6.) DESIGNS BY DEB LLC - CO-OWNER - BUY, RENOVATE AND SELL HOMES - CLARION, IA - SINCE 03/2009 - INVESTMENT RELATED 7.) BRADFORD GROUP INC. RENTAL - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES /PROPERTY MANAGEMENT - CLARION, IA - INVESTMENT RELATED 8.) BRADFORD'S CLARION BETTERMENT GRANT PROGRAM - OFFICER - GRANT PROGRAM - CLARION, IA - SINCE 12/2011 - NOT INVESTMENT RELATED 9.) DEFERRED SALES TRUST - ADVISOR - TAX STRATEGY - CLARION, IA - SINCE 11/2013 - NOT INVESTMENT RELATED 10.) BRADFORD BUSINESS AND DEVELOPMENT CENTER - OWNER - RENTAL SPACE FOR NEW BUSINESSES - CLARION, IA - SINCE 04/2015 - INVESTMENT RELATED 11.) HOME SYSTEMS AND SUPPLY LLC - PARTNER - APPLIES SPRAY FOAM INSULATION - BADGER, IA - SINCE 06/2014 - NOT INVESTMENT RELATED 12.) INTERNET AUCTION WAREHOUSE DBA BZ NEEZ - OWNER - SELLING ITEMS OVER THE INTERNET AND OUT OF THE STORE - CLARION, IA - SINCE 06/2011 - NOT INVESTMENT RELATED 13.) BRADFORD FINANCIAL CENTER - PRESIDENT - DBA NAME FOR MARKETING PURPOSES ONLY - CLARION, IA - SINCE 09/2019 - INVESTMENT RELATED 14.) OAK HILL ASSISTED LIVING - SILENT PARTNER - ASSISTED LIVING FACILITY - HAWARDEN, IA - SINCE 09/2010 - NOT INVESTMENT RELATED 15.) BRADFORD TAX & ACCOUNTING NETWORK - OWNER - TAX PREPARATION/ACCOUNTING/BOOKKEEPING/CPA - CLARION & GARNER, IA - SINCE 12/2008 - NOT INVESTMENT RELATED 16.) STOR-IT WRIGHT STORAGE - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - CLARION, IA - SINCE 10/2018 - INVESTMENT RELATED 17.) BRADFORD - OWNER - DBA NAME FOR MARKETING PURPOSES ONLY - CLARION, IA - SINCE 04/2015 - NOT INVESTMENT RELATED 18.) TRANSPORTATION HEAVEN ON EARTH - OWNER - CAR LEASING - CLARION, IA - SINCE 09/2022 - NOT INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view James William Tausz'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: 1987
Experience
Current
January 1, 1999 - Present
BRADFORD FINANCIAL CENTER
Office #1: 119 Central Ave W, Clarion, IA 50525RIA
CRD#: 110953
Clarion, IA
Current
August 4, 2006 - Present
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
Office #1: 119 Central Ave. W, Clarion, IA 50525RIA
BD
CRD#: 20804
Clarion, IA
Past
September 3, 2002 - August 10, 2006
CETERA ADVISORS LLC
RIA
CRD#: 10299
CLARION, IA
Past
August 18, 1999 - August 10, 2006
CETERA ADVISORS LLC
BD
CRD#: 10299
CLARION, IA
Past
January 12, 1995 - December 31, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
November 19, 1989 - August 25, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
October 5, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
July 5, 1973 - October 28, 1983
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
July 5, 1973 - October 28, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
July 5, 1973 - October 28, 1983
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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".
BF
BRADFORD FINANCIAL CENTER
BRADFORD FINANCIAL CENTER
CRD#: 110953 / SEC#: 801-68117
RIA
Registered Investment Advisory firm - (7/23/2007 Approved)Iowa
Registered Investment Advisory firm - (9/13/2007 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
Alabama(8/24/2006)
RR
Alaska(8/4/2006)
RR
Arizona(8/4/2006)
RR
Arkansas(8/4/2006)
RR
California(8/4/2006)
RR
Colorado(8/4/2006)
RR
Connecticut(8/3/2011)
RR
District of Columbia(8/4/2006)
RR
Florida(8/4/2006)
RR
Georgia(8/4/2006)
RR
Hawaii(9/18/2018)
RR
Idaho(8/4/2006)
RR
Illinois(8/8/2006)
RR
Indiana(8/16/2006)
IAR
Iowa(1/1/1999)
RR
Iowa(8/7/2006)
RR
Kansas(8/4/2006)
RR
Kentucky(8/4/2006)
RR
Louisiana(9/8/2006)
RR
Maine(8/4/2006)
RR
Maryland(8/4/2006)
RR
Massachusetts(8/4/2006)
RR
Michigan(8/4/2006)
RR
Minnesota(8/4/2006)
RR
Mississippi(2/23/2007)
RR
Missouri(8/4/2006)
RR
Montana(8/9/2006)
RR
Nebraska(8/10/2006)
IAR
Nebraska(7/21/2025)
RR
Nevada(8/4/2006)
RR
New Jersey(8/4/2006)
RR
New Mexico(8/4/2006)
RR
New York(8/4/2006)
RR
North Carolina(8/4/2006)
RR
North Dakota(8/4/2006)
RR
Ohio(8/4/2006)
RR
Oklahoma(2/21/2007)
RR
Oregon(8/4/2006)
RR
Pennsylvania(2/23/2007)
RR
South Carolina(8/16/2006)
RR
South Dakota(8/14/2006)
RR
Tennessee(8/4/2006)
RR
Texas(8/4/2006)
RR
Utah(8/4/2006)
RR
Vermont(7/22/2025)
RR
Virginia(2/22/2007)
RR
Washington(8/4/2006)
RR
West Virginia(8/4/2006)
RR
Wisconsin(8/4/2006)
RR
Wyoming(8/4/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 6/27/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BF
BRADFORD FINANCIAL CENTER
BRADFORD FINANCIAL CENTER
CRD#: 110953 / SEC#: 801-68117
RIA
Registered Investment Advisory firm - (7/23/2007 Approved)Iowa
Registered Investment Advisory firm - (9/13/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
119 Central Ave W, Clarion, IA 50525
Mailing Address
Po Box 540, Clarion, IA 50525-0540
Phone number
(515) 532-6661
Established
Firm type
Fiscal year end
# of Employees
26
SEC notice filing (25 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,710 |
| AUM (Assets Under Management) | $ 232,332,172 |
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
BRADFORD FINANCIAL CENTER
CRD#: 110953Clarion, IA 50525TRUST BUT VERIFY
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