James V. Rudolph

CASTFIRM ADVISORS LLC

GARDEN CITY, NY 11530

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CRD#: 6804833

Professional summary

James V Rudolph, who also goes by James V. Rudolph, James VIncent Rudolph, is a registered financial advisor currently at CASTFIRM ADVISORS LLC located in Garden City, New York.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James V. Rudolph | James Vincent Rudolph

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.

Law practice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James V Rudolph'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®

None

Experience

Current

October 20, 2023 - Present

CASTFIRM ADVISORS LLC

Office #1: 377 Oak Street Suite 203, Garden City, NY 11530

RIA

CRD#: 327519

GARDEN CITY, NY

Past

September 29, 2021 - September 12, 2023

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

New York, NY

Past

September 29, 2021 - September 12, 2023

J.P. MORGAN SECURITIES LLC

CRD#: 79

New York, NY

Past

September 13, 2017 - September 17, 2021

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

August 31, 2017 - September 17, 2021

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

August 16, 2017 - September 17, 2021

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(10/20/2023)

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

IAR

Series 66

Date: 9/8/2017

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: 8/16/2017

General Securities Representative Examination

Current Firm

CASTFIRM ADVISORS LLC

CRD#: 327519 / SEC#:

New York

Registered Investment Advisory firm - (10/20/2023 Approved)

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Contact information

Main Address

377 Oak Street Suite 203, Garden City, NY 11530

Mailing Address

Po Box 331, Rockville Centre, NY 11570

Phone number

(516) 888-9986

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 2,710,000

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.

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James V. Rudolph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James V Rudolph's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASTFIRM ADVISORS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2017

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2017

Current Firm

CASTFIRM ADVISORS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CASTFIRM ADVISORS LLC

TRUST BUT VERIFY

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