James Uren has been an investment adviser representative at Phase III Advisory Services since January 2002, and is not listed among the firm’s executive officers or direct owners.
Phase III Advisory Services, LTD is a Buffalo Grove, IL firm with $211M under management, 483 clients and 3 advisers across 2 offices, as of its April 2026 filing.
James Uren’s longest registration is the current one, 25 years at Osaic Wealth, Inc. since 2001.
- Royal Alliance Associates, Inc.– · 5 yearsBuffalo Grove, IL · Adviser representative · Firm CRD 23131
- – present · 24 yearsAdviser representative · Firm CRD 122959
- Osaic Wealth, Inc.Also current– present · 25 yearsCrown Point, IN · Adviser representative and broker · Firm CRD 23131
Investment adviser representative registrations
James Uren is registered as an investment adviser representative in 2 states. The first approvals date from January 2002; the most recent is Texas, in April 2024.
- IllinoisSince 2 January 2002
- TexasSince 12 April 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 19 September 2001 |
| Series 7 | General Securities Representative Examination | 15 August 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- James Mason Uren
- CRD
- 4428814
- Firm
- Phase III Advisory Services · CRD 122959
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 2001
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does James Uren work?
James Uren is an investment adviser representative registered through Phase III Advisory Services, LTD since January 2002, and is not listed among the firm’s executive officers or direct owners.
Is James Uren a financial advisor?
Yes. James Uren has a current investment-adviser registration in Illinois and Texas, through Phase III Advisory Services since January 2002.
How many years of experience does James Uren have?
James Uren has 25 years in the financial industry, since August 2001, across 2 adviser firms.
What exams has James Uren passed?
James Uren has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2001. FINRA credited James Uren with the SIE, which began in October 2018.
Is James Uren registered with FINRA?
Yes. James Uren has a current broker registration, under CRD 4428814.
Source: FINRA BrokerCheck
How can I verify James Uren’s record?
Search CRD 4428814 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Uren’s full registration record.
