Best Investors Account Sign in

James Joseph Barclay

Advisors Asset Management, Inc.

Princeton, NJ

Tinley Park, IL

Claim This Profile
Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2023-09-11
  • IL RA
    APPROVED
    Since 2023-09-11

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Tinley Park, IL • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Oak Ridge Investments, Llc Chicago IL 07/2015 07/2018
Imst Distributors, Llc Chicago IL 07/2015 07/2018
North Square Investments Llc Chicago IL 07/2018 08/2023
Advisors Asset Management, Inc Monument CO 09/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-06-14
S63 Uniform Securities Agent State Law Examination 1995-08-08
  • S65 Uniform Investment Adviser Law Examination
    2000-06-14
  • S63 Uniform Securities Agent State Law Examination
    1995-08-08

View on SEC IAPD

Other Firms

BLACKROCK INVESTMENT MANAGEMENT, LLC
SONGBIRD CAPITAL, LLC
J.P. MORGAN SECURITIES LLC
SYSTEMATIC ALPHA INVESTMENTS, LLC
PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP

Other Investors

DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

More in Princeton, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor