AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JK

James A. Klotz

FMSBONDS
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 500438
JK

Professional summary

James Arnold Klotz is a registered financial professional currently at FMSBONDS, INC. located in Boca Raton, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1976. James has worked at 3 firms and has passed the Series 99TO, Series 7TO, SIE, Series 27, Series 24, Series 40 and F04 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view James Arnold Klotz'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

January 24, 1979 - Present

FMSBONDS, INC.

Office #1: 4775 Technology Way, Boca Raton, FL 33431
BD
CRD#: 7793
Boca Raton, FL
Past

January 31, 1995 - July 24, 1995

FIRST MIAMI SECURITIES PENSION SERVICES CORPORATION

BD
CRD#: 36770
Past

January 2, 1976 - November 5, 1978

J. B. HANAUER & CO.

BD
CRD#: 6958

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
Florida
(5/9/1983)
RR
New Jersey
(12/18/1995)
RR
New York
(7/22/1985)
RR
Ohio
(6/16/1994)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 9/22/1978
Registered Principal Examination
Principal/Supervisory Exam
RR
F04
Date: 9/19/1978
Financial Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FMSBONDS, INC.
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS

CRD#: 7793 / SEC#: , 8-23280

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
4775 Technology Way, Boca Raton, FL 33431
Mailing Address
4775 Technology Way, Boca Raton, FL 33431
Phone number
(800) 741-1103
Established
Florida since 08/11/1978
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FEINSILVER, PAULCHAIRMAN OF THE BOARD500389
KLOTZ, JAMES ARNOLDPRESIDENT500438
GUERRISE, MATTHEW ANTHONYCHIEF COMPLIANCE OFFICER2673770
PARKER, ANNE MICHELLESROP AND CROP2226034
SELIGSOHN, MICHAEL STEVENCHIEF OPERATIONS OFFICER, VICE PRESIDENT2189850
SWINARSKI, THEODORE ANTHONYSENIOR VICE PRESIDENT - TRADING SUPERVISOR1584451

Disclosures

Regulatory Event11
Arbitration2

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

FMSBONDS, INC.

CRD#: 7793Boca Raton, FL 33431

TRUST BUT VERIFY

Monitor James Klotz

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Charles Andrew Fischer
Charles FischerAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
IAR
RR
Boca Raton, FL
JF
John FrickerAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Ft. Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics