JT
James Topping
ADVISORS ASSET MANAGEMENT
Lisle, IL 60532
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CRD#: 7469144
JT
Professional summary
James Topping, who also goes by Jimmy Topping, is a registered financial advisor currently at ADVISORS ASSET MANAGEMENT, INC. located in Lisle, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. James has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jimmy Topping
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.
1) Name: Compass to Care Address: 6323 N Avondale Ave Suite 250, Chicago, IL 60631 title: President of the Associate Board start: 1/1/2025 time: About 3 hours per month. not business securities related. President of the Associate Board. Putting together plans for events with other associate board members. Going to volunteer events to promote the mission of compass to care and to generate funds to support the organization. Compass to Care, a 501(c)(3) charitable organization provides a free Non Emergency Medical Transportation (NEMT) solution to access life-saving cancer treatment and clinical trials for children fighting cancer and facing poverty or cancer-related financial toxicity (CRFT). 2) Name: Refuge for Women Chicago Address: 620 Dakota Street, Crystal Lake, IL 60012 title: Young Leaders Board Member start: 8/14/2024 time: At most 2 hours. not business securities related. Refuge for women is an organization that offers support and housing to women who have escaped trafficking and sexual exploitation. Young leaders Board member. One hour meeting per month which will happen outside of work with occasional volunteer events. Estimated total time per month will be 1 to 2 hours. The ultimate goal is to raise funds to help these women get back on their feet.
CRS (Client Relationship Summary) - RIA
Click below to view James Topping's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Topping'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 17, 2022 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 4343 Commerce Court Suite 214, Lisle, IL 60532RIA
BD
CRD#: 46727
Lisle, IL
Current
August 25, 2022 - Present
ADVISORS ASSET MANAGEMENT, INC.
Office #1: 4343 Commerce Court Suite 214, Lisle, IL 60532RIA
BD
CRD#: 46727
Lisle, IL
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".
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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
Illinois(10/17/2022)
IAR
Illinois(10/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/24/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
AA
ADVISORS ASSET MANAGEMENT, INC.
ADVISOR'S ASSET MANAGEMENT | STERLING BROKERAGE SERVICES, LLC | FIXED INCOME SECURITIES, LP | FIXED INCOME SECURITIES, LLC | FIXED INCOME SECURITIES, INC. | ADVISORS ASSET MANAGEMENT, INC.
CRD#: 46727 / SEC#: 801-62731, 8-51509
RIA
Registered Investment Advisory firm - SEC (2/6/2004 Approved)California
Registered Investment Advisory firm - SEC (4/14/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/15/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18925 Base Camp Road Suite 203, Monument, CO 80132
Mailing Address
18925 Base Camp Road, Monument, CO 80132
Phone number
(719) 488-9956
Established
Delaware since 01/01/2008
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
274
SEC notice filing (50 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AAM HOLDINGS, INC | SHAREHOLDER | |
| CORSO, CLIFFORD DEAN | CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR | 2477519 |
| DANIEL, BART PATRICK | CHIEF TECHNOLOGY OFFICER/DIRECTOR | 4263841 |
| FERONE, MARILEE | EXEC. VP | 1450526 |
| GENOVESE, CHRISTOPHER THOMAS | EXEC. VP/DIRECTOR | 2255451 |
| GILBERT, BRIAN WAYNE | SR. VP | 1857325 |
| LLOYD, MATTHEW WILLIAM | CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR | 2460808 |
| MEITZNER, ALEX ROBERT | SR. VP | 1964373 |
| OPIE, JEFFREY KURTIS | EXEC. VP, CHIEF FINANCIAL OFFICER | 5763807 |
| SICKLES, CHARLES EDWARD | EXEC. VP | 2097390 |
| STEWART, RICHARD ALAN | EXEC. VP | 1653343 |
| STOKLOSA, TIMOTHY JOHN | EXEC. VP, CHIEF OPERATING OFFICER | 4897959 |
| WEBBER, JOHN EDWIN | SVP, CHIEF COMPLIANCE OFFICER/SECRETARY | 5169415 |
Regulatory assets under management
| Total Number of Accounts | 1,591 |
| AUM (Assets Under Management) | $ 1,958,198,460 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
