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JS

James Senatore

Some features on this profile are disabled
CRD#: 1410686
JS

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 Senatore was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
(1)Name of Business: Desert Financial Address: 148 N 48th St Fl 5, Phoenix, AZ, 85034-1900, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: No Start Date: 08/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Director of Wealth Management Sales (2)Name of Business: Desert Financial Wealth Management Address: 148 N 48th St Fl 5, Phoenix, AZ, 85034-1900, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 08/01/2022 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Desert Financial Wealth Management

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

August 2, 2022 - March 21, 2025

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Phoenix, AZ
Past

August 1, 2022 - March 21, 2025

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Phoenix, AZ
Past

March 17, 2021 - July 8, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
MONROVIA, CA
Past

March 17, 2021 - July 8, 2021

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
MONROVIA, CA
Past

August 1, 2018 - September 25, 2020

SORRENTO PACIFIC FINANCIAL, LLC

RIA
CRD#: 127787
Fountain Hills, AZ
Past

August 1, 2018 - September 25, 2020

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

April 11, 2017 - September 25, 2020

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
Fountain Hills, AZ
Past

April 3, 2017 - September 25, 2020

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
Vancouver, WA
Past

October 19, 2015 - July 26, 2016

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
PHOENIX, AZ
Past

September 15, 2015 - July 26, 2016

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
PHOENIX, AZ
Past

March 1, 2013 - March 24, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
TEMPE, AZ
Past

January 25, 2008 - March 24, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

November 30, 2006 - September 25, 2007

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

December 8, 2004 - December 6, 2006

IFMG SECURITIES, INC.

BD
CRD#: 14416
LAKE SUCCESS, NY
Past

March 12, 2001 - December 1, 2004

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MELVILLE, NY
Past

June 19, 2000 - March 7, 2001

HSBC BROKERAGE (USA) INC.

BD
CRD#: 6956
NEW YORK, NY
Past

March 11, 1996 - June 19, 2000

REPUBLIC FINANCIAL SERVICES CORPORATION

BD
CRD#: 38293
NEW YORK, NY
Past

March 1, 1994 - March 14, 1996

CAL FED INVESTMENTS

BD
CRD#: 19631
SACRAMENTO, CA
Past

July 9, 1992 - February 28, 1994

FISCO EQUITY, INC.

BD
CRD#: 24067
LINCOLN, RI
Past

February 27, 1992 - April 27, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

February 27, 1992 - April 27, 1992

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)

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: 12/2/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/26/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/29/2016
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/14/1993
Investment Company Products/Variable Contracts Principal Examination

Current Firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
MARY ELIZABETH HAAS | RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | RAYMOND JAMES ADVISORY SERVICES

CRD#: 149018 / SEC#: 801-69815

RIA
Registered Investment Advisory firm - (12/23/2008 Approved)
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Contact information

Main Address
880 Carillon Parkway, Saint Petersburg, FL 33716
Mailing Address
Phone number
(727) 567-3020
Established
Firm type
Fiscal year end
# of Employees
6,727

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. WRAP BROCHURE (6/30/2025)
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC. FIRM BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts1,030,208
AUM (Assets Under Management)$ 344,868,106,925

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/12/2025
Cover Page
Report
08/21/2024
Cover Page
Report
09/27/2023
Cover Page
Report

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

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

CRD#: 149018

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