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JS

James Schuman

BAKER TILLY CAPITAL
Chicago, IL 60601-5927
Some features on this profile are disabled
CRD#: 7798157
JS

Professional summary

James Schuman, who also goes by Jamie Schuman, is a registered financial professional currently at BAKER TILLY CAPITAL, LLC located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2024. James has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Schuman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Schuman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 23, 2024 - Present

BAKER TILLY CAPITAL, LLC

Office #1: 205 N. Michigan Avenue, Ste. 2800, Chicago, IL 60601-5927
BD
CRD#: 115333
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(8/21/2024)
RR
Illinois
(2/20/2024)
RR
Ohio
(2/20/2024)
RR
Wisconsin
(2/20/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/20/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/11/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/7/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BAKER TILLY CAPITAL, LLC
BAKER TILLY CAPITAL | VIRCHOW KRAUSE CAPITAL, LLC | BAKER TILLY CAPITAL, LLC

CRD#: 115333 / SEC#: , 8-53480

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4807 Innovate Lane, Madison, WI 53718
Mailing Address
Po Box 7398, Madison, WI 53707-7398
Phone number
(800) 362-7301
Established
Wisconsin since 09/22/1999
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BAKER TILLY ADVISORY GROUP, LPMANAGING MEMBER
INDA, TYLER RONALDPRESIDENT6478455
OLSON, BARBARA RCHIEF COMPLIANCE OFFICER6715742
STEWART, SCOTT ALEXANDERFINOP, POO, PFO6977422

Disclosures

Regulatory Event1

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.

Company Information

BAKER TILLY CAPITAL, LLC

CRD#: 115333Chicago, IL 60601-5927

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