James Bashaw has been President, Chief Compliance Officer of JLB & Associates since September 2017, is a control person of the firm and directly owns 75% or more of it.
JLB & Associates Inc is a Plymouth, MI firm with $893M under management, 291 clients and 3 advisers across 3 offices, as of its April 2026 filing.
Investment adviser representative registrations
James Bashaw is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from November 2010; the most recent is Florida, in November 2025.
- FloridaSince 24 November 2025
- MichiganSince 12 November 2010
- TexasResidentSince 23 November 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 2 November 2010 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James Edward Bashaw
- CRD
- 4907540
- Firm
- JLB & Associates · CRD 104655
- Role
- President, Chief Compliance Officer
- Registration
- Investment adviser registration
- In the industry since
- November 2010
- Disciplinary history
- Not yet shown here · SEC record
Where does James Bashaw work?
James Bashaw has been President, Chief Compliance Officer of JLB & Associates Inc since September 2017, and is a control person of the firm.
Is James Bashaw a financial advisor?
Yes. James Bashaw has a current investment-adviser registration in Florida, Michigan and Texas, through JLB & Associates since November 2010.
How many years of experience does James Bashaw have?
James Bashaw has 15 years in the financial industry, since November 2010, across 1 adviser firm.
What exams has James Bashaw passed?
James Bashaw passed the Series 65 in November 2010.
Is James Bashaw registered with FINRA?
No. James Bashaw has no current broker registration.
How can I verify James Bashaw’s record?
Search CRD 4907540 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Bashaw’s full registration record.