AdvisorRanked
66
Some Concerns

JAMES I. BLACK & COMPANY

311 SOUTH FLORIDA AVENUE, LAKELAND, FL 33801
commissionSEC Registered
863-686-4163 www.Jamesiblack.com CRD #1249
Visit Website
$144M
Assets Managed
2
Clients
10
Employees
6
Years Active
since 2020

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46059. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46059

3 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 3

Complaint ratio: 150.00 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameJAMES I. BLACK & COMPANY
CRD Number#1249
SEC RegisteredYes
Registration Date2020-07-28
States RegisteredFL
Assets Under Management$144M
Number of Clients2
Employees10
Compensation Typecommission
Last ADV Filing46059

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Frequently Asked Questions

Is JAMES I. BLACK & COMPANY a fiduciary?

No. JAMES I. BLACK & COMPANY is not registered as an RIA and is not legally bound by the fiduciary standard.

How does JAMES I. BLACK & COMPANY charge clients?

JAMES I. BLACK & COMPANY uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does JAMES I. BLACK & COMPANY have any complaints?

Yes. JAMES I. BLACK & COMPANY has 3 complaint(s) on record. Their complaint ratio is 150.00 per 100 clients (industry average: ~0.15).

How does JAMES I. BLACK & COMPANY compare to other advisors in LAKELAND?

JAMES I. BLACK & COMPANY has a Red Flag Score of 66/100. There are 7 registered advisory firms in LAKELAND. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46059. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.