JP
James J. Piangozza
UNITED CAPITAL FINANCIAL ADVISORS
BETHPAGE, NY 11714
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CRD#: 2631630
JP
Professional summary
James Joseph Piangozza, CFA, CFP®, who also goes by James J Piangozza, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Bethpage, New York and INTEGRITY ALLIANCE, LLC. located in Bethpage, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7TO, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James J Piangozza
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.
1.JAMES PIANGOZZA IS AN INSURANCE AGENT LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT. JAMES PIANGOZZA MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. 2.UNITED CAPITAL RISK MANAGEMENT POSITION: Employee NATURE: I am a NYS licensed insurance agent who can write policies for our clients. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2019 ADDRESS: 24 Union Ave., Bethpage NY 11714, United States DESCRIPTION: Should the need arise, I am licensed to help clients procure life or annuity policies. I am not currently involved in placing insurance business, but am licensed to do so. 3.UNITED CAPITAL POSITION: Employee NATURE: I am an Investment Adviser Representative for United Capital. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 100 START DATE: 05/01/2011 ADDRESS: 24 Union Ave., Bethpage NY 11714, United States DESCRIPTION: Developing financial plans and building discretionary investment portfolios for fee-based clients.
CRS (Client Relationship Summary) - RIA
Click below to view James Joseph Piangozza'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®
Experience
Current
May 10, 2019 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 24 Union Avenue, Bethpage, NY 11714RIA
CRD#: 134600
BETHPAGE, NY
Current
November 3, 2025 - Present
INTEGRITY ALLIANCE, LLC.
Office #1: 24 Union Ave, Bethpage, NY 11714RIA
BD
CRD#: 139627
Bethpage, NY
Past
February 9, 2024 - November 3, 2025
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
Bethpage, NY
Past
July 29, 2022 - November 15, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
BETHPAGE, NY
Past
July 24, 2015 - May 16, 2019
TOTAL FINANCIAL ADVISORS, LLC
RIA
CRD#: 143998
BETHPAGE, NY
Past
September 1, 2009 - March 31, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
BETHPAGE, NY
Past
August 15, 2005 - September 1, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BETHPAGE, NY
Past
February 15, 1996 - December 31, 2003
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
July 11, 1995 - January 12, 1996
ADVANTAGE CAPITAL CORPORATION
BD
CRD#: 146
ATLANTA, GA
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)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
IAR
Connecticut(5/10/2019)
IAR
New York(3/13/2021)
RR
New York(11/3/2025)
IAR
Texas(2/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/6/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
