# JAMES I. BLACK & COMPANY

JAMES I. BLACK & COMPANY of LAKELAND, FL is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 1249
- Type: SEC-registered investment adviser
- SEC file number: 801-118955
- Location: 311 SOUTH FLORIDA AVENUE, LAKELAND, FL, 33801
- Phone: 863-686-4163
- Latest filing: 2026-02-06
- Regulatory AUM: $144.1M
- Non-discretionary AUM: $144.1M
- Clients: 10
- Accounts: 130

## Business model

- Compensation: % of AUM, Hourly, Fixed, Other
- Clients served: Individuals, High net worth

## Officers, owners & control persons (18)

| Name | Role | Location |
| --- | --- | --- |
| Dean J Miller | DIRECTOR | Bellevue, OH |
| Rebecca B Charles | OWNER | — |
| Gerald Leroy Black | PRESIDENT AND DIRECTOR | — |
| Doris Black Lyons | TREASURER | — |
| James Issac Iii Black | OWNER | — |
| Natasha Lynn Steadman | CHIEF COMPLIANCE OFFICER | — |
| Jeffrey Miller Dean | DIRECTOR | — |
| Katharine Ann Black | OWNER | — |
| Stephanie Marie Black | OWNER | — |
| Jennifer Leigh Black | OWNER | — |
| BLACK JAMES LEROY | PRESIDENT AND DIRECTOR | — |
| BLACK ROBERT WILMER III | OWNER | — |
| BLACK PATRICIA ANN | OWNER | — |
| BLACK KRISTIN MARIE | OWNER | — |
| LYONS DORIS BLACK | TREASURER | — |
| CHARLES REBECCA B | OWNER | — |
| STEADMAN NATASHA LYNN | CHIEF COMPLIANCE OFFICER | — |
| BLACK JENNIFER LEIGH | OWNER | — |


## Disclosures (8)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2008-10-10 | regulatory | THE FIRM VIOLATED SEC RULES 10B-10 , 10B-16, 17A-3(A)(9), 17A-3(A)(17), 17A-4, SECTIONS 220.4, 220.8 OF REGULATION T, NASD RULES 2110, 3010, 3110, IN THAT JAMES I. BLACK & COMPANY, ACTING THROUGH AN INDIVIDUAL: FAILED TO RETAIN THE FIRM'S INSTANT MESSAGES; AND FAILED TO ISSUE MARGIN CALLS WITH REGAR… | Final | $70K |
| 2008-05-09 | regulatory | THE FIRM VIOLATED NASD RULES 2110, 3011, 3011(A), (B), (C) AND (E), MSRB RULE G-41: THE FIRM PROCEDURES REQUIRED TO LOOK FOR SUSPICIOUS ACTIVITIES AND RED FLAGS AND TO NOTIFY REGULATORY ORGANIZATIONS AND/OR LAW ENFORCEMENT OF SUSPICIOUS ACTIVITIES BY FILING SUSPICIOUS ACTIVITY REPORTS. HOWEVER, THE… | Final | $125K |
| 2005-10-31 | regulatory | THE FIRM VIOLATED NASD MARKETPLACE RULE 6130(B) AND NASD CONDUCT RULE 2110- RESPONDENT FIRM FAILED TO ACCEPT OR DECLINE IN NASDAQ MARKET CENTER 120 TRANSACTIONS IN ELIGIBLE SECURITIES WITHIN TWENTY MINUTES AFTER EXECUTION. | Final | $6K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/1249/brochure
- Similar advisers: https://search.stillhousedata.com/firm/1249/similar
- Related entities: https://search.stillhousedata.com/firm/1249/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/1249

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.