James V. Aulenti
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 Vito Aulenti, who also goes by James V Aulenti, Jim Aulenti, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2017 - December 31, 2024
ATLANTIC WEALTH ADVISORY SERVICES, LLC
January 2, 2013 - December 31, 2015
CONCORDE ASSET MANAGEMENT, LLC
April 20, 2012 - December 31, 2015
CONCORDE INVESTMENT SERVICES, LLC
January 6, 2012 - December 31, 2012
ONYX WEALTH ADVISORS, INC.
January 3, 2012 - May 31, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
December 7, 2004 - December 31, 2011
INVESTORS CAPITAL CORP.
December 7, 2004 - December 31, 2011
INVESTORS CAPITAL CORP.
February 11, 2003 - December 16, 2004
MML INVESTORS SERVICES, LLC
May 3, 1999 - February 24, 2003
PARK AVENUE SECURITIES LLC
September 30, 1987 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
April 24, 1986 - May 13, 1987
SIGNATOR INVESTORS, INC.
February 1, 1985 - March 17, 1986
LOWRY FINANCIAL SERVICES CORPORATION
March 8, 1984 - November 30, 1984
ROBERT W. BAIRD & CO. INCORPORATED
June 30, 1983 - April 2, 1985
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ATLANTIC WEALTH ADVISORY SERVICES, LLC
CRD#: 288243 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 300,000 |
Red Flags
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