James A. Albanese

HANTZ FINANCIAL SERVICES

Willoughby, OH 44094

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CRD#: 2179644

Professional summary

James Anthony Albanese, CFP®, ChFC®, CLU® is a registered financial advisor currently at HANTZ FINANCIAL SERVICES, INC. located in Willoughby, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

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

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®

CFP^®

Certified Financial Planner

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

August 9, 1999 - Present

HANTZ FINANCIAL SERVICES, INC.

Office #1: 37131 Euclid Ave., Willoughby, OH 44094

RIA

CRD#: 46047

Willoughby, OH

Current

July 23, 1999 - Present

HANTZ FINANCIAL SERVICES, INC.

Office #1: 37131 Euclid Ave., Willoughby, OH 44094

RIA

CRD#: 46047

Willoughby, OH

Past

June 23, 1999 - July 8, 1999

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047

Past

December 11, 1997 - June 25, 1999

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

Past

February 5, 1997 - December 16, 1997

GOLDK INVESTMENT SERVICES, INC

CRD#: 15514

BOSTON, MA

Past

December 13, 1991 - January 16, 1997

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 13, 1991 - January 16, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047 / SEC#: 801-106859, 8-51291

RIA

Registered Investment Advisory firm - SEC (11/19/2015 Approved)

California

Registered Investment Advisory firm - SEC (1/1/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/18/2015 Terminated)

Illinois

Registered Investment Advisory firm - SEC (11/19/2015 Terminated)

Indiana

Registered Investment Advisory firm - SEC (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

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

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.

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

Arizona
(1/19/2011)

California
(1/3/2025)

Colorado
(6/4/2019)

Florida
(4/30/2002)

IAR

Florida
(12/17/2015)

Georgia
(11/19/2021)

Illinois
(4/8/2013)

IAR

Illinois
(4/8/2013)

Kentucky
(4/8/2021)

Louisiana
(6/21/2022)

Maine
(8/10/2022)

Maryland
(10/18/2000)

Massachusetts
(12/4/2024)

Michigan
(1/1/2005)

IAR

Michigan
(2/2/2011)

Montana
(2/1/2007)

Nevada
(9/3/2003)

New Mexico
(7/9/2010)

New York
(12/1/2001)

North Carolina
(8/4/2006)

Ohio
(7/26/1999)

IAR

Ohio
(8/9/1999)

Pennsylvania
(1/29/2010)

South Carolina
(1/24/2007)

South Dakota
(11/6/2013)

IAR

Texas
(11/4/2011)

Texas
(9/6/2012)

Virginia
(5/23/2000)

Washington
(8/22/2023)

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

IAR

Series 65

Date: 6/17/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HANTZ FINANCIAL SERVICES, INC.

CRD#: 46047 / SEC#: 801-106859, 8-51291

RIA

Registered Investment Advisory firm - SEC (11/19/2015 Approved)

California

Registered Investment Advisory firm - SEC (1/1/2016 Terminated)

Florida

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Georgia

Registered Investment Advisory firm - SEC (12/18/2015 Terminated)

Illinois

Registered Investment Advisory firm - SEC (11/19/2015 Terminated)

Indiana

Registered Investment Advisory firm - SEC (12/9/2015 Terminated)

Michigan

Registered Investment Advisory firm - SEC (1/26/2016 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Ohio

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (12/2/2015 Terminated)

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

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Contact information

Main Address

26200 American Drive Fifth Floor, Southfield, MI 48034

Mailing Address

26200 American Drive Fifth Floor, Southfield, MI 48034

Phone number

(248) 304-2855

Established

Michigan since 06/19/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

402

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

HFSI FORM ADV PART 2A DATED AUGUST 29, 2025 (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
HANTZ GROUP, INC.	PARENT COMPANY
ARNOLD, DAVID JOSEPH	SENIOR VP	6738208
BEEBE, JOHN FREDERICK	SENIOR VP	4151293
ESCOBEDO, SAMANTHA TRACY	SENIOR VP	6554885
HANTZ, JOHN RUSSELL	DIRECTOR	1462066
HANTZ, KIMBERLY DIANE	DIRECTOR	5109009
HANTZ, LAUREN CHRISTINE	DIRECTOR	6737867
JAMES, TIMOTHY C	SENIOR VP	4751106
MACHCINSKI, JOHN FRANCIS	PRESIDENT/SECRETARY/CHIEF COMPLIANCE OFFICER	853028
MCALEAR, THOMAS CRAIG	DIRECTOR	7517087
MCCLAIN, ROBERT MATTHEW	SENIOR VP	4768883
NATALE, ANTONIO ANDRE	VICE PRESIDENT OF ASSET MANAGEMENT	4268947
RACINE, JAMIE MILLER	SENIOR VP	4585375
REID, MICHAEL ORAS	SENIOR VP	1923539
SHEA, DAVID JOSEPH	DIRECTOR	5109005
SOPER, JEFFERY HAROLD	SENIOR VP	2205971
STEVENS, DANIEL JOSEPH	SENIOR VP	5868523
YAROCH, RENEE ANN	VP/CFO/FINOP/PRINCIPAL OPERATIONS OFFICER	2040518

Regulatory assets under management

Total Number of Accounts	111,576
AUM (Assets Under Management)	$ 7,817,501,016

Disclosures

Regulatory Event	4
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/13/2023	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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James A. Albanese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

HANTZ FINANCIAL SERVICES, INC.

HANTZ FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

GOLDK INVESTMENT SERVICES, INC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

HANTZ FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/17/1994

Series 63

Date: 5/6/1994

SIE

Date: 10/1/2018

Series 7

Date: 12/12/1991

Series 24

Date: 11/27/1996

FINRA

Current Firm

HANTZ FINANCIAL SERVICES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 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

HANTZ FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Contact information

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