James Aljian has been Trustee of Aljian Capital Management since April 2006, is a control person of the firm and directly owns under 5% of it.
Aljian Capital Management, LLC is a Carson City, NV firm with $628M under management, 436 clients and 3 advisers across 2 offices, as of its March 2026 filing.
James Aljian’s longest registration is the current one, 13 years at Aljian Capital Management since 2013. Before joining Aljian Capital Management in 2013, James Aljian was registered through Morgan Stanley and Citigroup Global Markets Inc.
- Aljian Capital ManagementCurrent– present · 13 yearsCarson City, NV · Adviser representative · Firm CRD 167381
- Morgan Stanley– · 4 yearsSanta Rosa, CA · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 11 yearsSanta Rosa, CA · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
James Aljian is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from September 2013; the most recent is Nevada, in December 2023.
- CaliforniaSince 6 September 2013
- NevadaSince 8 December 2023
- TexasResidentSince 29 September 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 February 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 3 March 1988 |
| Series 7 | General Securities Representative Examination | 20 February 1988 |
| Series 3 | National Commodity Futures Examination | 15 June 1987 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- National Commodity Futures Examination
- Full name
- James Raymond Aljian
- CRD
- 1489018
- Firm
- Aljian Capital Management · CRD 167381
- Role
- Trustee
- Office
- 600 E WILLIAM STREET, STE. 208, Carson City, NV 89701
- Registration
- Investment adviser registration
- In the industry since
- July 1997
- Disciplinary history
- Not yet shown here · SEC record
Where does James Aljian work?
James Aljian has been Trustee of Aljian Capital Management, LLC since April 2006, and is a control person of the firm.
Is James Aljian a financial advisor?
Yes. James Aljian has a current investment-adviser registration in California, Nevada and Texas, through Aljian Capital Management since September 2013.
How many years of experience does James Aljian have?
James Aljian has 29 years in the financial industry, since July 1997, across 3 adviser firms.
What exams has James Aljian passed?
James Aljian has passed 4 licensing exams: the Series 3, Series 7, Series 63 and Series 65. The earliest, the Series 3, was passed in June 1987.
Where did James Aljian work before Aljian Capital Management?
Before Aljian Capital Management, James Aljian was registered through Citigroup Global Markets Inc., July 1997 to June 2009.
Where is James Aljian based?
James Aljian’s registered office is in Carson City, NV.
Is James Aljian registered with FINRA?
No. James Aljian has no current broker registration.
How can I verify James Aljian’s record?
Search CRD 1489018 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Aljian’s full registration record.