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

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
JS

James M. Sabbatini

Some features on this profile are disabled
CRD#: 5798495
JS

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 Michael Sabbatini, who also goes by James M Sabbatini, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2010. James had worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James M Sabbatini

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

July 9, 2025 - March 2, 2026

EXCHANGERIGHT SECURITIES, LLC

BD
CRD#: 283430
PASADENA, CA
Past

January 24, 2025 - April 2, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
SCOTTSDALE, AZ
Past

January 24, 2025 - April 2, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 7, 2023 - January 24, 2025

OSAIC FA, INC.

RIA
CRD#: 3978
RADNOR, PA
Past

February 6, 2023 - January 24, 2025

OSAIC FS, INC.

BD
CRD#: 3870
RADNOR, PA
Past

February 6, 2023 - January 24, 2025

OSAIC FA, INC.

BD
CRD#: 3978
RADNOR, PA
Past

April 20, 2022 - September 1, 2022

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 125446
Seattle, WA
Past

April 20, 2022 - September 1, 2022

BRINKER CAPITAL SECURITIES, LLC

BD
CRD#: 38123
BERWYN, PA
Past

May 31, 2019 - April 13, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
Bellevue, WA
Past

May 31, 2019 - April 13, 2022

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
Bellevue, WA
Past

July 23, 2018 - May 30, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA
CRD#: 611
LYNNWOOD, WA
Past

July 22, 2018 - May 30, 2019

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
LYNNWOOD, WA
Past

February 2, 2015 - June 29, 2018

SYMETRA SECURITIES, INC.

BD
CRD#: 739
BELLEVUE, WA
Past

May 15, 2014 - January 20, 2015

RUSSELL INVESTMENTS

RIA
CRD#: 105734
SEATTLE, WA
Past

May 14, 2014 - January 20, 2015

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
SEATTLE, WA
Past

December 4, 2013 - May 12, 2014

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

August 22, 2011 - May 23, 2014

ASSETMARK, INC.

RIA
CRD#: 109018
CONCORD, CA
Past

August 15, 2011 - November 22, 2013

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

July 26, 2010 - June 27, 2011

EDWARD JONES

RIA
CRD#: 250
OAK LAWN, IL
Past

July 13, 2010 - June 27, 2011

EDWARD JONES

BD
CRD#: 250
OAK LAWN, IL

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2010
Uniform Combined 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: 7/12/2010
General Securities Representative Examination

Current Firm

ES
EXCHANGERIGHT SECURITIES, LLC
EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430 / SEC#: , 8-69753

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Mailing Address
1055 E. Colorado Blvd., Suite 310, Pasadena, CA 91106
Phone number
(626) 564-1031
Established
California since 01/06/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 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#
EXCHANGERIGHT HOLDINGS, LLCOWNER
DRYDEN, SUSANA KAYCHIEF COMPLIANCE OFFICER, MANAGING MEMBER5327906
THOMAS, WARREN JESSE MCEWINPRESIDENT, MANAGING MEMBER2299254
THORNTON, STEVEN LEEFINOP4496384
UNGERECHT, JOSHUA PAULCEO, MANAGING MEMBER5183573

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

EXCHANGERIGHT SECURITIES, LLC

CRD#: 283430

TRUST BUT VERIFY

Monitor James Sabbatini

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

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
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.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.