James A. Manfredonia

FIG TREE FINANCIALS LLC

New York, NY

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CRD#: 1172628

Professional summary

James Anthony Manfredonia is a registered financial advisor currently at FIG TREE FINANCIALS LLC located in New York, New York and MARCO POLO SECURITIES INC. located in New York, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 12 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Mr. Manfredonia is an adjunct Professor at Fordham University. 10% of his time is dedicated to this activity. Not investment-related. Fig Tree Financial, President Wealth Management Firm Investment related, 100 hrs. monthly. Green Impact Exchange, Advisor, 2 hrs allocated monthly.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Manfredonia's CRS (Customer Relationship Summary).

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

Current

March 1, 2022 - Present

FIG TREE FINANCIALS LLC

RIA

CRD#: 317013

New York, NY

Current

August 12, 2021 - Present

MARCO POLO SECURITIES INC.

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020

CRD#: 46561

NEW YORK, NY

Past

March 8, 2013 - June 17, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

NEW YORK, NY

Past

September 30, 2011 - June 17, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 16, 2011 - August 19, 2011

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 24, 2010 - May 20, 2011

DRIVEWEALTH INSTITUTIONAL LLC

CRD#: 33038

NEW YORK, NY

Past

October 16, 2008 - August 19, 2010

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

June 12, 2008 - October 7, 2008

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

July 18, 2002 - June 11, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 26, 1992 - July 30, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 17, 1991 - January 1, 1992

BLAIR/MANFREDONIA LIMITED PARTNERSHIP

CRD#: 26417

Past

April 8, 1987 - March 3, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

September 21, 1983 - January 28, 1987

SALOMON BROTHERS INC.

CRD#: 740

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New Jersey
(2/2/2024)

IAR

New York
(3/1/2022)

New York
(2/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/25/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/16/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/11/2013

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/4/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/22/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/10/2014

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/17/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1990

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIG TREE FINANCIALS LLC

CRD#: 317013 / SEC#:

New York

Registered Investment Advisory firm - (3/1/2022 Approved)

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Contact information

Main Address

New York, NY

Mailing Address

Phone number

(973) 495-0054

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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James A. Manfredonia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Anthony Manfredonia's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARCO POLO SECURITIES INC.

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

MAXIM GROUP LLC

DRIVEWEALTH INSTITUTIONAL LLC

FIRST NEW YORK SECURITIES L.L.C.

COWEN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BLAIR/MANFREDONIA LIMITED PARTNERSHIP

DREXEL BURNHAM LAMBERT INCORPORATED

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/2022

Series 65

Date: 7/16/2021

Series 66

Date: 6/11/2013

Series 7TO

Date: 8/4/2021

SIE

Date: 6/22/2021

Series 3

Date: 7/10/2014

Series 55

Date: 3/17/2003

Series 7

Date: 9/17/1983

Series 24

Date: 11/27/1990

FINRA

Current Firm

FIG TREE FINANCIALS LLC

Contact information

Documents

Red Flags

Company Information

FIG TREE FINANCIALS LLC

TRUST BUT VERIFY

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