James William Ugone
Professional Summary
James William Ugone is a registered financial advisor currently at NOVEM GROUP located in Topsfield, Massachusetts. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
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.
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Years of Experience
30 years in the financial services industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Current Firm
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
Contact Information
Main Address
350 Linden Oaks Suite 140, Rochester, NY 14625Phone Number
(585) 348-9525# of Employees
52SEC notice filing (32 States and Territories)
Registered to provide investment advisory services in 32 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
5,571AUM (Assets Under Management)
$1,717,643,936Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
Primary Firm SEC Registration
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
State Registrations and Notice Filings
(3/19/2019)
(3/25/2021)
(7/14/2015)
(10/28/2024)
(12/10/2014)
(1/21/2015)
(10/28/2024)
(11/19/2014)
(6/8/2021)
(11/10/2014)
(4/1/2022)
(12/3/2020)
(10/26/2020)
(10/24/2025)
(3/21/2017)
(12/5/2024)
(6/4/2021)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 1996About the Series 6 examSimilar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James William Ugone's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
