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JF

James G. Foliano

SIEBERT WILLIAMS SHANK & CO.
INDEPENDENCE, OH 44131
Some features on this profile are disabled
CRD#: 2826472
JF

Professional summary

James Gerard Foliano is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Independence, Ohio.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view James Gerard Foliano'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

November 7, 2025 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

Office #1: 6100 Oak Tree Blvd. Suite 200 (office No. 248), Independence, OH 44131
BD
CRD#: 42568
INDEPENDENCE, OH
Past

July 24, 2015 - November 13, 2025

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CLEVELAND, OH
Past

November 1, 2013 - July 27, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
CLEVELAND, OH
Past

May 17, 2011 - October 30, 2013

DAIWA CAPITAL MARKETS AMERICA INC.

BD
CRD#: 1576
BEACHWOOD, OH
Past

August 3, 2009 - May 12, 2011

SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.

BD
CRD#: 6950
CLEVELAND, OH
Past

September 1, 2005 - June 3, 2009

JEFFERIES LLC

BD
CRD#: 2347
CLEVELAND, OH
Past

June 4, 2002 - August 25, 2005

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

April 7, 1997 - June 3, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH

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
California
(11/7/2025)
RR
Colorado
(11/7/2025)
RR
Florida
(11/7/2025)
RR
Georgia
(11/7/2025)
RR
Illinois
(11/7/2025)
RR
Iowa
(11/7/2025)
RR
Michigan
(11/7/2025)
RR
Minnesota
(11/7/2025)
RR
Nevada
(11/7/2025)
RR
New York
(11/7/2025)
RR
Ohio
(11/7/2025)
RR
Pennsylvania
(11/7/2025)
RR
Texas
(11/7/2025)
RR
Wisconsin
(11/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/1997
Uniform Securities Agent 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: 4/4/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/2/2003
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/28/2003
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

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

Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 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#
SHANK WILLIAMS CISNEROS, LLCOWNER
CALABRISOTTO, DIANNE NMNAML OFFICER1273900
CALABRISOTTO, DIANNE NMNCHIEF COMPLIANCE OFFICER & COO1273900
CHANDA, ATEESH SINGHCHIEF LEGAL OFFICER6973151
DIAZ, DANIELFINANCIAL PRINCIPAL2214417
HALL, GARYCO-PRESIDENT4393662
SHANK-WERDLOW, SUZANNE FRANCESCEO, DIRECTOR OF PARENT1860931
THOMPSON, WILLIAM COLRIDGE JRCHIEF ADMINISTRATIVE OFFICER2316101
WARNER, SOBANI MULENGACO-PRESIDENT1732009

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

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568Independence, OH 44131

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