James A. Scerbo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Anthony Scerbo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 86 and Series 87 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - November 20, 2014
NOVA FINANCIAL SERVICES
October 25, 2013 - November 20, 2014
MUTUAL SECURITIES, INC.
August 24, 2005 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
January 26, 2001 - April 23, 2003
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NOVA FINANCIAL SERVICES
CRD#: 150148 / SEC#: 801-79612
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,354 |
| AUM (Assets Under Management) | $ 391,234,000 |
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.
