James Jay Arado
Professional Summary
James Jay Arado was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1969 - 2018. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT
Contact Information
Main Address
181 West Madison Street 36th Floor, Chicago, IL 60602Phone Number
(312) 368-7700# of Employees
610SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
29,019AUM (Assets Under Management)
$67,840,284,252Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | Cover Page | Report |
| 04/30/2025 | Cover Page | Report |
| 10/20/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AT INVESTMENT ADVISERS, INC. | STEIN ROE INVESTMENT COUNSEL,LLC | STEIN ROE INVESTMENT COUNSEL, INC. | STEIN ROE INVESTMENT COUNSEL LLC | CIBC PRIVATE WEALTH MANAGEMENT | CIBC PRIVATE WEALTH ADVISORS, INC. | CIBC PRIVATE WEALTH ADVISORS INC. - TEAM GENEVA ADVISORS | ATLANTIC TRUST STEIN ROE | ATLANTIC TRUST PRIVATE WEALTH MANAGEMENT
State Registrations and Notice Filings
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 41 — NYSE Allied Member Examination
Passed Jun 1983PC — AMEX Put and Call Exam
Passed Jun 1977Series 000 — General Securities Principal Examination
Passed Jun 1969Series 1 — Registered Representative Examination
Passed Jun 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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