JU
James W. Ugone
NOVEM GROUP
TOPSFIELD, MA 01983
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CRD#: 2699708
JU
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.
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.
1) NOVEM GROUP, RIA, INVESTMENT-RELATED, INVESTMENT ADVISER REPRESENTATIVE, START DATE 11/2014, 130 HOURS PER MONTH, 130 HOURS PER MONTH DURING MARKET HOURS 2) TOPSFIELD FINANCIAL GROUP, OWNER, NON INVESTMENT-RELATED, LICENSED INSURANCE AGENT, SALE OF OCCASIONAL INSURANCE, START DATE 2008, 1-5 HOURS PER MONTH, 1-5 HOURS PER MONTH DURING MARKET HOURS
CRS (Client Relationship Summary) - RIA
Click below to view James William Ugone'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
November 10, 2014 - Present
NOVEM GROUP
Office #1: 7 Grove Street Suite 301, Topsfield, MA 01983RIA
CRD#: 158964
TOPSFIELD, MA
Past
October 11, 2024 - December 31, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
TOPSFIELD, MA
Past
December 4, 2014 - December 31, 2014
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
November 8, 2006 - November 24, 2014
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
January 2, 2002 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
TOPSFIELD, MA
Past
January 16, 1996 - January 8, 2002
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
WALTHAM, MA
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".
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 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.Highlighted states indicate IAR registrations
IAR
Arizona(3/19/2019)
IAR
California(3/25/2021)
IAR
Colorado(7/14/2015)
IAR
Connecticut(10/28/2024)
IAR
Florida(12/10/2014)
IAR
Illinois(1/21/2015)
IAR
Maine(10/28/2024)
IAR
Massachusetts(11/19/2014)
IAR
Michigan(6/8/2021)
IAR
New Hampshire(11/10/2014)
IAR
New York(4/1/2022)
IAR
North Carolina(12/3/2020)
IAR
Pennsylvania(10/26/2020)
IAR
Rhode Island(10/24/2025)
IAR
South Carolina(3/21/2017)
IAR
Vermont(12/5/2024)
IAR
Washington(6/4/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
NG
NOVEM GROUP
AMERICAN ADVISORY GROUP | NOVEM GROUP | APFS WEALTH MANAGEMENT, INC. | APFS WEALTH MANAGEMENT, INC
CRD#: 158964 / SEC#: 801-72741
RIA
Registered Investment Advisory firm - (9/22/2011 Approved)Georgia
Registered Investment Advisory firm - (10/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
350 Linden Oaks Suite 140, Rochester, NY 14625
Mailing Address
Phone number
(585) 348-9525
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (32 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 5,074 |
| AUM (Assets Under Management) | $ 1,413,641,568 |
Red Flags
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Company Information
NOVEM GROUP
CRD#: 158964Topsfield, MA 01983TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
