James A. Taibleson
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 Alan Taibleson, who also goes by James A Taibleson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - December 31, 2023
IC ADVISORY SERVICES, INC.
September 10, 2012 - December 31, 2023
THE INVESTMENT CENTER, INC.
October 23, 2002 - September 11, 2012
MAXIM GROUP LLC
June 1, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
January 17, 1994 - June 1, 1999
STUART, COLEMAN & CO., INC.
December 4, 1991 - January 28, 1994
BISHOP, ROSEN & CO., INC.
October 9, 1991 - November 25, 1991
JOSEPHTHAL & CO., INC.
January 31, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
December 24, 1987 - January 27, 1990
J. T. MORAN & CO., INC.
September 19, 1986 - December 24, 1987
WOOLCOTT & CO., INC.
June 26, 1985 - September 16, 1986
STEINBERG & LYMAN
October 4, 1984 - September 24, 1986
MORGAN STANLEY DW INC.
March 23, 1981 - September 12, 1984
J.P. MORGAN SECURITIES LLC
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
Current Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
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.
