James A. Deperno

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CRD#: 1552466

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 Anthony Deperno JR, who also goes by Jay Deperno, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jay Deperno

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

October 9, 2018 - May 21, 2019

TRUBEE WEALTH ADVISORS, INC.

CRD#: 3618

BUFFALO, NY

Past

June 24, 1998 - July 12, 2011

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

LOS ANGELES, CA

Past

May 21, 1996 - June 18, 1998

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

October 23, 1992 - May 24, 1996

BISYS SHELF B/D (1), INC.

CRD#: 26501

BOSTON, MA

Past

June 29, 1992 - September 17, 1992

BREWSTER & DRISCOLL CAPITAL MANAGEMENT, INC.

CRD#: 21490

LENEXA, KS

Past

March 13, 1991 - May 11, 1992

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 4, 1990 - March 19, 1991

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

April 26, 1989 - October 26, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

July 29, 1988 - April 18, 1989

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 26, 1986 - December 13, 1986

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

TRUBEE WEALTH ADVISORS, INC.

TRUBEE WEALTH ADVISORS, INC | TRUBEE, COLLINS & CO., INC. | TRUBEE, COLLINS & CO. | TRUBEE WEALTH ADVISORS, INC.

CRD#: 3618 / SEC#: 801-70259, 8-2142

RIA

Registered Investment Advisory firm - SEC (6/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

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.

Exams

State Security Law Exam

Series 63

Date: 10/23/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/22/2018

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2018

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/11/2000

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TRUBEE WEALTH ADVISORS, INC.

TRUBEE WEALTH ADVISORS, INC | TRUBEE, COLLINS & CO., INC. | TRUBEE, COLLINS & CO. | TRUBEE WEALTH ADVISORS, INC.

CRD#: 3618 / SEC#: 801-70259, 8-2142

RIA

Registered Investment Advisory firm - SEC (6/11/2009 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

600 Airborne Pkwy Suite #120 Suite #120, Buffalo, NY 14225

Mailing Address

600 Airborne Pkwy Suite #120, Buffalo, NY 14225

Phone number

(716) 849-1401

Established

New York since 01/01/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRUBEE WEALTH ADVISORS FORM ADV 2A (3/19/2025)

Direct owners and executive officers

Name	Position	CRD#
PICTOR, WILLIAM ROBERT	VICE PRESIDENT	858533
SHINE, JOHN DAVID	PRESIDENT, BRANCH MANAGER, & CEO	6416650
TURK, THOMAS RICHARD	VICE PRESIDENT	723048
BOWEN, JEFFREY ALLAN	VICE PRESIDENT, SROP, CROP	832583
EMBLIDGE, ANNE JENNIFER	FINANCIAL ADVISOR	6778677
GELO, CHARLES ERNEST	VICE PRESIDENT	2356060
INGOLD, NICHOLAS ALEXANDER	VICE PRESIDENT	5189327
STEINWALD, HARRISON MICHAEL	FINOP AND CFO	5978062
VERBANIC, NICHOLAS	VICE PRESIDENT	2229305
REINARD-KOPSA, PATRICIA EDITH	CHIEF COMPLIANCE OFFICER	2101387
VOSSLER, THOMAS GERARD	VICE PRESIDENT	1036328

Regulatory assets under management

Total Number of Accounts	1,265
AUM (Assets Under Management)	$ 724,206,069

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	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.

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Firm Stability Insights

James A. Deperno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAPITAL CLIENT GROUP, INC.

DWS DISTRIBUTORS, INC.

BISYS SHELF B/D (1), INC.

BREWSTER & DRISCOLL CAPITAL MANAGEMENT, INC.

CAPITAL BROKERAGE CORPORATION

INDEPENDENT FINANCIAL SECURITIES, INC.

EMPIRE NATIONAL SECURITIES, INCORPORATED

IFMG SECURITIES, INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

TRUBEE WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/2018

Series 65

Date: 5/22/2018

SIE

Date: 10/10/2018

Series 7

Date: 10/9/2018

Series 26

Date: 8/11/2000

Current Firm

TRUBEE WEALTH ADVISORS, INC.

Contact information

SEC notice filing (12 States and Territories)

FINRA licenses (49 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

TRUBEE WEALTH ADVISORS, INC.

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