JF
James A. Fives
ZACKS INVESTMENT MANAGEMENT
Conshohocaen, PA
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CRD#: 7151547
JF
Professional summary
James Alexander Fives is a registered financial advisor currently at ZACKS INVESTMENT MANAGEMENT, INC. located in Conshohocaen, Pennsylvania and LBMZ SECURITIES, INC. located in Chicago, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. James has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Fives'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®
NoneExperience
Current
October 4, 2023 - Present
ZACKS INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 110897
Conshohocaen, PA
Current
September 11, 2023 - Present
LBMZ SECURITIES, INC.
Office #1: 101 North Wacker Drive Suite 1500, Chicago, IL 60606BD
CRD#: 7874
CHICAGO, IL
Past
January 17, 2023 - July 14, 2023
ORION PORTFOLIO SOLUTIONS, LLC
RIA
CRD#: 107975
Berwyn, PA
Past
April 30, 2022 - January 6, 2023
ORION PORTFOLIO SOLUTIONS, LLC
RIA
CRD#: 125446
Berwyn, PA
Past
October 1, 2021 - July 14, 2023
BRINKER CAPITAL SECURITIES, LLC
BD
CRD#: 38123
BERWYN, PA
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".
ZI
ZACKS INVESTMENT MANAGEMENT, INC.
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
RIA
Registered Investment Advisory firm - (1/17/1992 Approved)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(9/11/2023)
RR
Alaska(9/11/2023)
RR
Arizona(9/11/2023)
RR
Arkansas(9/11/2023)
RR
California(9/11/2023)
RR
Colorado(9/11/2023)
RR
Connecticut(9/11/2023)
RR
Delaware(9/11/2023)
RR
District of Columbia(9/11/2023)
RR
Florida(9/11/2023)
RR
Georgia(9/11/2023)
RR
Hawaii(9/11/2023)
RR
Idaho(9/11/2023)
RR
Illinois(9/11/2023)
RR
Indiana(9/11/2023)
RR
Iowa(9/11/2023)
RR
Kansas(9/11/2023)
RR
Kentucky(9/11/2023)
RR
Louisiana(9/11/2023)
RR
Maine(9/11/2023)
RR
Maryland(9/11/2023)
RR
Massachusetts(9/11/2023)
RR
Michigan(9/11/2023)
RR
Minnesota(9/11/2023)
RR
Mississippi(9/11/2023)
RR
Missouri(9/11/2023)
RR
Montana(9/11/2023)
RR
Nebraska(9/11/2023)
RR
Nevada(9/11/2023)
RR
New Hampshire(9/11/2023)
RR
New Jersey(9/11/2023)
RR
New Mexico(9/11/2023)
RR
New York(9/11/2023)
RR
North Carolina(9/11/2023)
RR
North Dakota(9/11/2023)
RR
Ohio(9/12/2023)
RR
Oklahoma(9/11/2023)
RR
Oregon(9/11/2023)
RR
Pennsylvania(9/11/2023)
IAR
Pennsylvania(10/4/2023)
RR
Puerto Rico(9/11/2023)
RR
Rhode Island(9/11/2023)
RR
South Carolina(9/11/2023)
RR
South Dakota(9/11/2023)
RR
Tennessee(9/11/2023)
RR
Texas(9/11/2023)
RR
Utah(9/11/2023)
RR
Vermont(9/11/2023)
RR
Virginia(9/11/2023)
RR
Washington(9/11/2023)
RR
West Virginia(9/11/2023)
RR
Wisconsin(9/11/2023)
RR
Wyoming(9/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ZI
ZACKS INVESTMENT MANAGEMENT, INC.
ZACKS INVESTMENT MANAGEMENT, INC.
CRD#: 110897 / SEC#: 801-40592
RIA
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Contact information
Main Address
101 N. Wacker Drive Suite 1500, Chicago, IL 60606
Mailing Address
Phone number
(312) 265-9266
Established
Firm type
Fiscal year end
# of Employees
122
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,050 |
| AUM (Assets Under Management) | $ 12,414,372,511 |
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.
