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JA

James Joseph Albanese

HENLEY & COMPANY WEALTH MANAGEMENT

UNIONDALE, NY

·CRD# 1699997·37 years experience

Professional Summary

James Joseph Albanese, who also goes by James Jospeh Albanese, is a registered financial advisor currently at HENLEY & COMPANY WEALTH MANAGEMENT LLC located in Uniondale, New York and HENLEY & COMPANY LLC located in Uniondale, New York. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 4 firms and has passed the Series 66, Series 63, Series 99TO,...

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James Jospeh Albanese

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

37 years in the financial services industry

Current & Past Employments

HENLEY & COMPANY WEALTH MANAGEMENT LLC·CRD# 144884

RIA

506 Rxr Plaza, Uniondale, NY 11556

January 13, 2020 - Present

HENLEY & COMPANY LLC·CRD# 131453

BD

506 Rxr Plaza, Uniondale, NY 11556

September 22, 2004 - Present

HENLEY & COMPANY WEALTH MANAGEMENT LLC·CRD# 144884

RIA

Uniondale, NY

February 19, 2019 - December 31, 2019

RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694

BD

St. Petersburg, FL

January 4, 1999 - December 31, 2004

ROBERT THOMAS SECURITIES, INC·CRD# 10147

BD

St. Petersburg, FL

April 18, 1989 - January 4, 1999

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Current Firm

H&

HENLEY & COMPANY WEALTH MANAGEMENT LLC

HENLEY & COMPANY WEALTH MANAGEMENT LLC | HENLEY CAPITAL MANAGEMENT, INC. | HENLEY CAPITAL MANAGEMENT

CRD#: 144884 / SEC#: 801-77007

RIA

Registered Investment Advisory firm - SEC (8/14/2012 Approved)

New York

Registered Investment Advisory firm - New York (8/22/2012 Terminated)

Virginia

Registered Investment Advisory firm - Virginia (8/22/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

506 Rxr Plaza, Uniondale, NY 11556

Phone Number

(516) 794-5520

# of Employees

6

SEC notice filing (5 States and Territories)

Registered to provide investment advisory services in 5 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE (3/25/2026)

Regulatory Assets Under Management

Total Number of Accounts

108

AUM (Assets Under Management)

$93,923,336

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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.

I HANDLE TRADING AND ASSIST WITH SUPERVISION OF HENLEY & COMPANY WEALTH MANAGEMENT.

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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".

H&

HENLEY & COMPANY WEALTH MANAGEMENT LLC

HENLEY & COMPANY WEALTH MANAGEMENT LLC | HENLEY CAPITAL MANAGEMENT, INC. | HENLEY CAPITAL MANAGEMENT

CRD#: 144884 / SEC#: 801-77007

RIA

Registered Investment Advisory firm - SEC (8/14/2012 Approved)

New York

Registered Investment Advisory firm - New York (8/22/2012 Terminated)

Virginia

Registered Investment Advisory firm - Virginia (8/22/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

RR

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

RR

Alabama
(1/3/2005)

RR

Alaska
(1/3/2005)

RR

Arizona
(1/3/2005)

RR

Arkansas
(1/3/2005)

RR

California
(1/3/2005)

RR

Colorado
(1/3/2005)

RR

Connecticut
(1/3/2005)

IAR

Connecticut
(1/13/2020)

RR

Delaware
(1/3/2005)

RR

District of Columbia
(1/3/2005)

RR

Florida
(1/3/2005)

RR

Georgia
(1/3/2005)

RR

Hawaii
(1/3/2005)

RR

Idaho
(1/3/2005)

RR

Illinois
(1/3/2005)

RR

Indiana
(1/3/2005)

RR

Iowa
(1/3/2005)

RR

Kansas
(1/3/2005)

RR

Kentucky
(1/3/2005)

RR

Louisiana
(1/6/2005)

RR

Maine
(1/3/2005)

RR

Maryland
(1/3/2005)

RR

Massachusetts
(1/3/2005)

RR

Michigan
(1/3/2005)

RR

Minnesota
(1/3/2005)

RR

Mississippi
(1/3/2005)

RR

Missouri
(1/3/2005)

RR

Montana
(1/3/2005)

RR

Nebraska
(1/10/2005)

RR

Nevada
(1/3/2005)

RR

New Hampshire
(1/3/2005)

RR

New Jersey
(1/3/2005)

RR

New Mexico
(1/3/2005)

RR

New York
(1/3/2005)

IAR

New York
(3/29/2021)

RR

North Carolina
(1/3/2005)

RR

North Dakota
(1/3/2005)

RR

Ohio
(1/3/2005)

RR

Oklahoma
(1/3/2005)

RR

Oregon
(1/3/2005)

RR

Pennsylvania
(1/3/2005)

RR

Puerto Rico
(1/3/2005)

RR

Rhode Island
(1/3/2005)

RR

South Carolina
(1/3/2005)

RR

South Dakota
(1/3/2005)

RR

Tennessee
(1/21/2020)

RR

Texas
(7/5/2005)

RR

Utah
(1/3/2005)

RR

Vermont
(1/3/2005)

RR

Virginia
(1/3/2005)

RR

Washington
(1/3/2005)

RR

West Virginia
(1/3/2005)

RR

Wisconsin
(1/3/2005)

RR

Wyoming
(1/3/2005)

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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Dec 2018About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1989About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Oct 2003

Series 7 — General Securities Representative Examination

Passed Apr 1989About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2004About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Dec 2003About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Albanese's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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JA

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