James M. Sabbatini

EXCHANGERIGHT SECURITIES

Pasadena, CA 91106

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CRD#: 5798495

Professional summary

James Michael Sabbatini, who also goes by James M Sabbatini, is a registered financial professional currently at EXCHANGERIGHT SECURITIES, LLC located in Pasadena, California.

James is registered as a RR (Registered Representative) and started their career in finance in 2010. James has worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view James Michael Sabbatini'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

July 9, 2025 - Present

EXCHANGERIGHT SECURITIES, LLC

Office #1: 1055 E. Colorado Blvd, Suite 3130, Pasadena, CA 91106

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.

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.

CRD#: 3870

RADNOR, PA

Past

February 6, 2023 - January 24, 2025

OSAIC FA, INC.

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

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.

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.

CRD#: 611

LYNNWOOD, WA

Past

February 2, 2015 - June 29, 2018

SYMETRA SECURITIES, INC.

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

CRD#: 21771

SEATTLE, WA

Past

December 4, 2013 - May 12, 2014

CAPITAL BROKERAGE CORPORATION

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

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

CRD#: 250

OAK LAWN, IL

State Registrations and Notice Filings

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

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

Alaska
(7/9/2025)

California
(7/9/2025)

Idaho
(7/21/2025)

Montana
(7/9/2025)

Oregon
(7/9/2025)

Washington
(7/9/2025)

Wyoming
(7/9/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2010

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EXCHANGERIGHT SECURITIES, LLC

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

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
EXCHANGERIGHT HOLDINGS, LLC	OWNER
DRYDEN, SUSANA KAY	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	5327906
THOMAS, WARREN JESSE MCEWIN	PRESIDENT, MANAGING MEMBER	2299254
THORNTON, STEVEN LEE	FINOP	4496384
UNGERECHT, JOSHUA PAUL	CEO, MANAGING MEMBER	5183573

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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Advisor Monitoring

Firm Stability Insights

James M. Sabbatini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Sabbatini's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

OSAIC FA, INC.

OSAIC FS, INC.

OSAIC FA, INC.

ORION PORTFOLIO SOLUTIONS, LLC

BRINKER CAPITAL SECURITIES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

SYMETRA SECURITIES, INC.

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CAPITAL BROKERAGE CORPORATION

ASSETMARK, INC.

CAPITAL BROKERAGE CORPORATION

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2010

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2010

FINRA

Current Firm

EXCHANGERIGHT SECURITIES, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EXCHANGERIGHT SECURITIES, LLC

TRUST BUT VERIFY

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