DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner41 years in industry

JAMES J KARABAS

Advisor at EMBREE FINANCIAL GROUP

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9b8444b2-cac4-3f5e-215d-3b61d9661a0a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 12, 1998 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMBREE FINANCIAL GROUP
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 24, 1984earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 24, 1984
First registration: Apr 12, 1998
Dual registered: no
Other names: JAMES J KARABAS|JIM KARABAS
IAPD individual key: 1296427

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMBREE FINANCIAL GROUP	Mixed wealth	Mar 4, 2016	n/a	yes	CHICAGO, IL	Current employment
WADDELL & REED	Former SEC adviser	Sep 27, 2013	Jan 11, 2016	no	ELGIN, IL	Previous registration
VESTOR CAPITAL, LLC	Independent wealth	Nov 13, 2012	Apr 1, 2013	no	CHICAGO, IL	Previous registration
VESTOR CAPITAL PARTNERS, LLC	Former SEC adviser	Sep 12, 2006	Oct 30, 2012	no	CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 12, 1998	Sep 11, 2006	no	CHICAGO, IL\|CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WADDELL & REED	EMBREE FINANCIAL GROUP	Jan 11, 2016	Mar 4, 2016	53	Firm change	Other
VESTOR CAPITAL, LLC	WADDELL & REED	Apr 1, 2013	Sep 27, 2013	179	Firm change	Other
VESTOR CAPITAL PARTNERS, LLC	VESTOR CAPITAL, LLC	Oct 30, 2012	Nov 13, 2012	14	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	VESTOR CAPITAL PARTNERS, LLC	Sep 11, 2006	Sep 12, 2006	1	Firm change	Other

Relationships

Registered with (5)

→ EMBREE FINANCIAL GROUPRegistered adviserregistration: current employment
Mar 4, 2016 to presentfactForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 27, 2013 to Jan 11, 2016factForm ADV
→ VESTOR CAPITAL, LLCRegistered adviserregistration: previous registration
Nov 13, 2012 to Apr 1, 2013factForm ADV
→ VESTOR CAPITAL PARTNERS, LLCRegistered adviserregistration: previous registration
Sep 12, 2006 to Oct 30, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 12, 1998 to Sep 11, 2006factForm ADV

Dated events

No dated event names this entity yet.