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JF

James F. Fosbre

FORTUNE FINANCIAL SERVICES
Bayville, NJ 08721
Some features on this profile are disabled
CRD#: 2389064
JF

Professional summary

James Francis Fosbre IV, who also goes by James Francis IV Fosbre, is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Bayville, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Francis Iv Fosbre

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) - BD

Click below to view James Francis Fosbre IV'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®
None

Experience

Current

February 11, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 73 Grant Lane, Bayville, NJ 08721
BD
CRD#: 42150
Bayville, NJ
Past

December 7, 2016 - September 13, 2019

PROSPERITY WEALTH MANAGEMENT, INC.

RIA
CRD#: 174328
Bayville, NJ
Past

March 26, 2004 - February 10, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA
CRD#: 20804
BAYVILLE, NJ
Past

September 3, 1999 - February 10, 2016

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
BAYVILLE, NJ
Past

August 18, 1993 - September 3, 1999

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(4/24/2017)
RR
California
(1/2/2024)
RR
Delaware
(6/12/2017)
RR
Florida
(5/9/2017)
RR
New Jersey
(3/22/2016)
RR
New York
(12/17/2018)
RR
North Carolina
(3/30/2021)
RR
Pennsylvania
(10/17/2022)
RR
South Carolina
(10/12/2022)
RR
Tennessee
(12/6/2016)
RR
Texas
(1/25/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/28/2004
Uniform Combined 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: 12/18/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/1993
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/24/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORTUNE FINANCIAL SERVICES, INC.
FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3582 Brodhead Road Suite 202, Monaca, PA 15061
Mailing Address
P.o. Box 238, Monaca, PA 15061
Phone number
(724) 846-2488
Established
Pennsylvania since 10/21/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DANIELS, BLAKE WILLIAMCHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO1285106
DANIELS, BRIAN LEEOWNER1213561
BENTLEY, GREGORY JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER705379
PINTARIC, WILLIAM RICHARD JRCHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEECHIEF OPERATIONS OFFICER, FINOP, PFO, POO4794021

Disclosures

Regulatory Event4

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

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150Bayville, NJ 08721

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