JA
James J. Albanese
HENLEY & COMPANY WEALTH MANAGEMENT LLC
UNIONDALE, NY 11556
Some features on this profile are disabled
CRD#: 1699997
JA
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, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Jospeh Albanese
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Albanese'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®
NoneExperience
Current
January 13, 2020 - Present
HENLEY & COMPANY WEALTH MANAGEMENT LLC
Office #1: 506 Rxr Plaza, Uniondale, NY 11556RIA
CRD#: 144884
UNIONDALE, NY
Current
September 22, 2004 - Present
HENLEY & COMPANY LLC
Office #1: 506 Rxr Plaza, Uniondale, NY 11556BD
CRD#: 131453
UNIONDALE, NY
Past
February 19, 2019 - December 31, 2019
HENLEY & COMPANY WEALTH MANAGEMENT LLC
RIA
CRD#: 144884
UNIONDALE, NY
Past
January 4, 1999 - December 31, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
April 18, 1989 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
BD
CRD#: 10147
ST. PETERSBURG, FL
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 - (8/14/2012 Approved)New York
Registered Investment Advisory firm - (8/22/2012 Terminated)Virginia
Registered Investment Advisory firm - (8/22/2012 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 10/30/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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 - (8/14/2012 Approved)New York
Registered Investment Advisory firm - (8/22/2012 Terminated)Virginia
Registered Investment Advisory firm - (8/22/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
506 Rxr Plaza, Uniondale, NY 11556
Mailing Address
Phone number
(516) 794-5520
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 96,072,449 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
