James Michael Jiao

Current Employers

Employment History

• 04/2015 → Present
  Transatlantic Investment Partners Llc
  Santee, CA
• 12/2015 → 11/2017
  Bolton Global Capital
  Bolton, MA
• 12/2015 → 11/2017
  Bolton Global Asset Management
  Bolton, MA
• 11/2017 → 06/2019
  Adi Dassler International Family Office Usa Limited Partnership
  Santee, CA
• 06/2019 → 12/2022
  Adi Dassler Family Office
  Santee, CA
• 10/2019 → 12/2022
  Ucap Securities
  New York, NY
• 01/2023 → Present
  Insigneo Securities Llc
  Miami, FL
• 01/2023 → Present
  Insigneo Advisory Services Llc
  Miami, FL

Previous Registrations

• 2020-10-06 → 2022-12-31
  Ucap Americas
  Miami, FL
  Santee, CA
  El Cajon, CA
• 2019-06-21 → 2020-09-30
  Adi Dassler Family Office Llc
  New York, NY
  El Cajon, CA
  Santee, CA
• 2019-01-14 → 2019-06-05
  Adi Dassler International Family Office Usa Limited Partnership
  San Diego, CA
  Miami, FL
• 2017-11-17 → 2018-12-31
  Adi Dassler International Family Office Usa Limited Partnership
  Santee, CA
  Miami, FL
• 2015-12-16 → 2017-11-08
  Bolton Securities Corporation
  Santee, CA
  Bolton, MA
• 1997-07-07 → 2015-04-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Sandiego, CA
  San Diego, CA
  San Francisco, CA
  Miami, FL
  Newport Beach, CA
  San Antonio, TX
  Tucson, AZ
  Los Angeles, CA
  San Diego, CA
  Miami, FL

Other Businesses

1.Transatlantic Investment Partners LLC- located and registered in El Cajon, CA., also known as TAIP; Managing Partner; Investment related; 40 hours per week devoted to this activity; 30 hours during trading hours. TAIP is also an approved Doing Business As (DBA) that is used to conduct his Investment Advisor business through the Insigneo. TAIP is also registered as a Commodity Trading Advisor with the National Futures Association (NFA.) Note: TAIP and Mr. Jiao does not conduct Commodities or Futures business through Insigneo). He is registered with NFA and holds a Series 3 license (not active with Insigneo). 2.Erudito Training Systems (ETS)- James is the Sole Proprietor of company established in Santee, San Diego, CA. The OBA provides instruction and firearms training, safety, and aviation training. ETS also offers introductory wealth management courses on a one-one basis. 3 hours per week devoted to this activity, Zero hours per week devoted during trading hours; compensation is through training courses approximately $1500 in a 12-month period. 4.Flying Bull Aviation LLC - James is Managing Member and 75% owner of an entity with its principal address in Kendall, Miami, FL, and its mailing address in Santee, CA. Flying Bull Aviation owns an aircraft that Mr. Jiao manages, coordinating maintenance, inspection, repairs, upgrades, and administrative work for this aircraft. Mr. Jiao receives no compensation for these activities. 2 hours per week devoted to outside trading hours and zero hours devoted during trading hours. 5. REAL ESTATE_Investment related, No securities related / Address: Wiesbaden, Germany / Nature: 1) ownership of real estate holdings for income purposes, 2) management of family-owned real estate property. / Position: 1) Owner, 2) Manager / Start date: 08/2008 / Devoted: 10 hrs/month and 0 hrs/month during trading hours. 6.Insigneo Advisory Services. Senior Vice President since January 1, 2023. Spends 40 hours per week and 40 hours a week during trading hours. Compensation is based on advisory fees.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-01-21
• S63 Uniform Securities Agent State Law Examination
  1994-11-04