James J. Arado
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Jay Arado was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 41, PC, Series 000, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2017 - July 31, 2018
CIBC PRIVATE WEALTH ADVISORS, INC.
October 31, 2017 - July 31, 2018
CIBC WORLD MARKETS CORP.
October 21, 2008 - October 31, 2017
GNV ADVISORS, LLC
July 29, 2005 - October 27, 2008
UHLMANN PRICE SECURITIES, LLC
January 30, 2003 - September 1, 2017
GENEVA ADVISORS, LLC
March 14, 1983 - January 22, 2003
WILLIAM BLAIR
July 13, 1978 - March 15, 1983
BECKER PARIBAS INCORPORATED
December 24, 1974 - July 13, 1978
BECKER SECURITIES INCORPORATED
March 27, 1974 - November 25, 1975
A. G. BECKER & CO., INCORPORATED
June 18, 1969 - April 20, 1974
CLARK, DODGE & CO., INCORPORATED
Primary Firm SEC Registration
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 6/18/1983
NYSE Allied Member ExaminationPC
Date: 6/3/1977
AMEX Put and Call ExamSeries 000
Date: 6/16/1969
General Securities Principal ExaminationSeries 1
Date: 6/16/1969
Registered Representative ExaminationCurrent Firm
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28,865 |
| AUM (Assets Under Management) | $ 61,112,966,756 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 04/30/2025 | ||
| 10/20/2023 | ||
| 04/26/2023 |
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.
