James B. Schwartz

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CRD#: 3043085

Professional summary

James Bradley Schwartz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, James had worked at 12 firms, which includes JOSEPH GUNNAR & CO. LLC, FIRST STANDARD FINANCIAL COMPANY LLC, AEGIS CAPITAL CORP., JOHN THOMAS FINANCIAL, PAULSON INVESTMENT COMPANY LLC, ROCKWELL GLOBAL CAPITAL LLC, GUNNALLEN FINANCIAL INC, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., FIRST MONTAUK SECURITIES CORP., SALOMON GREY FINANCIAL CORPORATION, THE CAMELOT GROUP INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Schwartz

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 9, 2016 - February 28, 2017

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

June 6, 2016 - December 9, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

Garden City, NY

Past

June 6, 2013 - June 30, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

MELVILLE, NY

Past

October 9, 2012 - June 6, 2013

JOHN THOMAS FINANCIAL

CRD#: 40982

NEW YORK, NY

Past

August 4, 2011 - August 16, 2011

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

HAUPPAUGE, NY

Past

August 3, 2011 - October 23, 2012

ROCKWELL GLOBAL CAPITAL LLC

CRD#: 142485

MELVILLE, NY

Past

January 4, 2010 - August 3, 2011

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

HAUPPAUGE, NY

Past

October 22, 2004 - January 13, 2010

GUNNALLEN FINANCIAL, INC

CRD#: 17609

HAUPPAUGE, NY

Past

October 23, 2002 - November 15, 2004

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

April 30, 2002 - October 23, 2002

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

March 22, 2001 - April 30, 2002

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

July 14, 1999 - April 16, 2001

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

DALLAS, TX

Past

June 22, 1999 - July 14, 1999

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

Past

July 20, 1998 - June 24, 1999

THE CAMELOT GROUP, INC.

CRD#: 31091

FT LAUDERDALE, FL

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".

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 8/24/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/28/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1998

General Securities Representative Examination

Current Firm

JOSEPH GUNNAR & CO. LLC

AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA

Registered Investment Advisory firm - SEC (5/4/2021 Approved)

California

Registered Investment Advisory firm - SEC (8/5/2021 Terminated)

District of Columbia

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Louisiana

Registered Investment Advisory firm - SEC (5/10/2021 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/22/2021 Terminated)

New York

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (5/20/2021 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/7/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

1000 Rxr Plaza 10th Floor, Uniondale, NY 11556

Mailing Address

1000 Rxr Plaza, Uniondale, NY 11556

Phone number

(212) 440-9600

Established

Delaware since 08/07/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)

JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

Name	Position	CRD#
JOSEPH GUNNAR HOLDING CO., LLC.	OWNER
ALAGNA, JOSEPH ANTHONY JR	CHAIRMAN, CEO	1840339
COLOMBO, DOUGLAS	PRINCIPAL OPERATIONS OFFICER	1858351
HODGE, WILLIAM PAUL	CHIEF COMPLIANCE OFFICER / AMLCO	1950852
SINGER, STEVEN FREDERIC	FINOP	2360737
STEIN, STEPHAN A	PRESIDENT	3238494

Regulatory assets under management

Total Number of Accounts	68
AUM (Assets Under Management)	$ 33,967,899

Disclosures

Regulatory Event	5
Arbitration	13

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.

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Firm Stability Insights

James B. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST STANDARD FINANCIAL COMPANY LLC

AEGIS CAPITAL CORP.

JOHN THOMAS FINANCIAL

PAULSON INVESTMENT COMPANY LLC

ROCKWELL GLOBAL CAPITAL LLC

PAULSON INVESTMENT COMPANY LLC

GUNNALLEN FINANCIAL, INC

MAXIM GROUP LLC

HAPOALIM SECURITIES USA, INC.

FIRST MONTAUK SECURITIES CORP.

SALOMON GREY FINANCIAL CORPORATION

SALOMON GREY FINANCIAL CORPORATION

THE CAMELOT GROUP, INC.

Primary Firm SEC Registration

JOSEPH GUNNAR & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/1998

SIE

Date: 2/28/2017

Series 7

Date: 7/17/1998

Current Firm

JOSEPH GUNNAR & CO. LLC

Contact information

SEC notice filing (9 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

JOSEPH GUNNAR & CO. LLC

TRUST BUT VERIFY

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