James Klasa is a CFP-designated registered investment advisor, based in Carmel, IN, with 30 years of industry experience.
Location
751 City Center Dr, Carmel, IN, 46032
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Regulatory History (1)
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Customer Dispute
March 2003Denied
Other Business Activities
James works as a Wealth Advisory Regional Manager for First Financial Bank and a Wealth Management Regional Manager for Yellow Cardinal Advisors. Both positions started in August 2023 and take about a quarter to half of his time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
October 2023 - Present · 2 yrs 7 mos
Raymond James Financial Services, INC.Broker
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
PNC Investments
June 2014 - August 2023 · 9 yrs 2 mos
PNC InvestmentsBroker
June 2014 - August 2023 · 9 yrs 2 mos
BMO Harris Financial Advisors, INC.Broker
April 2014 - June 2014 · 2 mos
BMO Harris Financial Advisors, INC
April 2014 - June 2014 · 2 mos
PNC Investments
November 2009 - March 2014 · 4 yrs 4 mos
PNC InvestmentsBroker
November 2009 - March 2014 · 4 yrs 4 mos
Natcity Investments, INC.
July 2003 - November 2009 · 6 yrs 4 mos
Natcity Investments, INC.Broker
July 2003 - November 2009 · 6 yrs 4 mos
Morgan Stanley Dw INC.Broker
January 1999 - March 2003 · 4 yrs 2 mos
Prudential Securities IncorporatedBroker
April 1996 - January 1999 · 2 yrs 9 mos
American Express Financial Advisors INC.Broker
October 1994 - April 1996 · 1 yr 6 mos
Ids Life Insurance CompanyBroker
October 1994 - April 1996 · 1 yr 6 mos
State Registrations1 state
IN
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.