James Kanai

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
CO	RA	APPROVED	2023-04-25
TX	RA	APPROVED	2023-04-25

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Lone Tree	CO	03/2016	01/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Denver	CO	01/2017	07/2017
Bank Of America, N.A	Denver	CO	01/2017	07/2017
Unemployed	Denver	CO	08/2017	12/2017
Ameriprise Financial Services, Inc.	Westminster	CO	01/2018	04/2023
J.P. Morgan Securities Llc	Louisville	CO	04/2023	Present
Jpmorgan Chase Bank, N.A.	Louisville	CO	04/2023	Present
Kaz Sp	Westminster	CO	01/2018	04/2023

03/2016 → 01/2017

Charles Schwab & Co., Inc.

Lone Tree, CO
01/2017 → 07/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO
01/2017 → 07/2017

Bank Of America, N.A

Denver, CO
08/2017 → 12/2017

Unemployed

Denver, CO
01/2018 → 04/2023

Ameriprise Financial Services, Inc.

Westminster, CO
04/2023 → Present

J.P. Morgan Securities Llc

Louisville, CO
04/2023 → Present

Jpmorgan Chase Bank, N.A.

Louisville, CO
01/2018 → 04/2023

Kaz Sp

Westminster, CO

2018-01-19 → 2023-04-28

Ameriprise Financial Services, Llc

Westminster, CO
2017-03-03 → 2017-07-10

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Denver, CO

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-03-02
S63	Uniform Securities Agent State Law Examination	2016-08-19

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