AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JN

James J. Namorato

CAPITAL BROKERAGE
Richmond, VA 23230-1700
Some features on this profile are disabled
CRD#: 2944112
JN

Professional summary

James Joseph Namorato, CFP®, who also goes by Jim Namorato, is a registered financial professional currently at CAPITAL BROKERAGE CORPORATION located in Richmond, Virginia.

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 65, Series 63, SIE, Series 7, Series 6, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Namorato

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 Joseph Namorato'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®
CFP®

Certified Financial Planner

Experience

Current

January 24, 2008 - Present

CAPITAL BROKERAGE CORPORATION

Office #1: 6620 West Broad Street Building 2, Richmond, VA 23230-1700
BD
CRD#: 10465
Richmond, VA
Past

January 19, 2010 - April 19, 2012

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
RICHMOND, VA
Past

January 15, 2010 - April 19, 2012

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
RICHMOND, VA
Past

March 20, 2007 - January 22, 2008

FIRST CLEARING, LLC

BD
CRD#: 17344
GLEN ALLEN, VA
Past

April 12, 2005 - January 22, 2008

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
RICHMOND, VA
Past

January 24, 2005 - January 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GLEN ALLEN, VA
Past

January 21, 2005 - January 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

October 14, 1999 - December 31, 2004

CRI SECURITIES, LLC

BD
CRD#: 22589
ST. PAUL, MN
Past

September 25, 1997 - December 31, 2004

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

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
Arkansas
(5/2/2016)
RR
Connecticut
(5/2/2016)
RR
District of Columbia
(5/2/2016)
RR
New Mexico
(5/2/2016)
RR
South Dakota
(1/13/2023)
RR
Texas
(5/2/2016)
RR
Virginia
(1/24/2008)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1997
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: 5/11/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CB
CAPITAL BROKERAGE CORPORATION
CAPITAL BROKERAGE CORPORATION | GNA SECURITIES, INC. | GENWORTH FINANCIAL BROKERAGE CORPORATION | GE CAPITAL BROKERAGE CORPORATION

CRD#: 10465 / SEC#: , 8-26614

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11011 West Broad Street Building 2, Glen Allen, VA 23060
Mailing Address
11011 West Broad Street Building 2, Glen Allen, VA 23060
Phone number
(804) 513-3172
Established
Washington since 07/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
GNA CORPORATIONSHAREHOLDER COMMON
NAMORATO, JAMES JOSEPHCHIEF COMPLIANCE OFFICER2944112
TABB, MARIA ODONNELLPRESIDENT AND CHIEF EXECUTIVE OFFICER1309483
TURNER, BONNIE COBBFINOP4389441

Disclosures

Regulatory Event3
Arbitration1

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

CAPITAL BROKERAGE CORPORATION

CRD#: 10465Richmond, VA 23230-1700

TRUST BUT VERIFY

Monitor James Namorato

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Karen Anne Jones
Karen JonesAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Richmond, VA
JM
Joseph McveyAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Powhatan, VA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.