James Allan Vanderbilt

Current Employers

Employment History

• 02/1995 → 02/2024
  Securities America, Inc.
  Chicago, IL
• 06/1999 → 02/2024
  Securities America Advisors, Inc.
  Omaha, NE
• 02/1995 → Present
  James A. Vanderbilt
  Chicago, IL
• 02/2024 → Present
  Lpl Financial
  St. Charles, IL

Previous Registrations

• 1999-06-23 → 2024-03-07
  Securities America Advisors, Inc.
  Chicago, IL
  St. Charles, IL

Other Businesses

1- 11/2023 / Steward Guide Wealth Partners / DBA for LPL Business (entity for LPL business) / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s) 2- 11/2023 / James Vanderbilt / Non-Variable Insurance / Investment Related / 3 hrs mth / 1 hr during trading / Start date: 11/27/2023 3- 11/2023 / James Vanderbilt / Notary / Investment Related / 1 hr mth / 0 hrs during trading / 11/27/2023 4- 02/2024 / Steward Guide Wealth Partners / DBA for RIA Business / Investment Related / 160 hrs mth / 40 hrs during trading / At reported business location(s) 5- 03/12/2024 / Independent Advisor Alliance / Inv Related / At Reported Business Location(s) / Registered Investment Advisor / Advisor / Started: 11/27/2023 / 160 Hrs/mo; 40 Hrs During Trading / You are approved based on the specific facts provided in this request. Since the RIA accommodates IARs not affiliated with LPL Financial, you are prohibited from using the RIA name to represent your LPL Financial securities business unless your firm has been approved for co-branding. If these circumstances change, you must notify us immediately.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-06-17
• S63 Uniform Securities Agent State Law Examination
  1988-12-07

Designations

Other Names

• Jim Vanderbilt
• James Allen Vanderbilt