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JO

James Onorato

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CRD#: 1011442
JO

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Onorato, who also goes by Jim Onorato, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Onorato

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 4, 2005 - July 6, 2005

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

February 14, 2005 - December 26, 2025

SUMMIT CAPITAL INC.

RIA
CRD#: 121335
CLEVELAND, OH
Past

March 14, 2003 - September 19, 2003

SAMUELS CHASE & CO., INC.

BD
CRD#: 36699
SANTA YSABEL, CA
Past

January 2, 2001 - March 14, 2003

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH
Past

October 20, 1983 - December 31, 2000

FIFTH THIRD/MAXUS SECURITIES INC

BD
CRD#: 6790
CLEVELAND, OH
Past

September 30, 1981 - September 30, 1983

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/29/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/30/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 12/11/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination

Current Firm

AN
AMERICA NORTHCOAST SECURITIES, INC.
AMERICA NORTHCOAST SECURITIES, INC. | NORTHCOAST SECURITIES, INC. | DALEY SECURITIES, INC. | B/D HOLDINGS, INC. | ANCORA SECURITIES, INC. | ANCORA SECURITIES, INC

CRD#: 16076 / SEC#: , 8-33033

BD
Terminated by SEC on 09/30/2017
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 10/18/1984
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARCH EAGLE, INC.SHAREHOLDER/PARENT COMPANY
BARONE, CHRISTOPHER RICHARDPRESIDENT, GENERAL PRINCIPAL, MUNICIPALS PRINCIPAL, CCO2032268
BARONE, RICHARD ANTHONYCHAIRMAN, SROP/CROP, CHIEF FINANCIAL OFFICER (CFO)13213

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

AMERICA NORTHCOAST SECURITIES, INC.

CRD#: 16076

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