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

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
JN

James H. Nespole

COMMERZ MARKETS LLC
NEW YORK, NY 10281
Some features on this profile are disabled
CRD#: 7999997
JN

Professional summary

James Howell Nespole, who also goes by James Nespole, is a registered financial professional currently at COMMERZ MARKETS LLC located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2024. James has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Nespole

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 Howell Nespole'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

June 6, 2025 - Present

COMMERZ MARKETS LLC

Office #1: 225 Liberty Street, New York, NY 10281
BD
CRD#: 41957
NEW YORK, NY
Past

March 6, 2025 - May 27, 2025

PERSHING LLC

BD
CRD#: 7560
NEW YORK, NY
Past

November 4, 2024 - May 27, 2025

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
JERSEY CITY, NJ

State Registrations and Notice Filings

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

RR
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

RR
New York
(6/6/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/14/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/3/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CM
COMMERZ MARKETS LLC
COMMERZ MARKETS LLC | DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC | DRESDNER KLEINWORT SECURITIES LLC | DRESDNER KLEINWORT BENSON NORTH AMERICA LLC | COMMERZBANK

CRD#: 41957 / SEC#: , 8-49647

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 Liberty Street, New York, NY 10281
Mailing Address
225 Liberty Street, New York, NY 10281
Phone number
(212) 266-7200
Established
Delaware since 05/28/1996
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

Direct owners and executive officers

NamePositionCRD#
COMMERZBANK AGSHAREHOLDER
BARBELLA, JOSEPHCHIEF COMPLIANCE OFFICER5058379
DEFREN, JOHN CHARLESCHIEF LEGAL OFFICER5917742
GEREMIA, JOHN MICHAELPRESIDENT/MEMBER BOARD OF MANAGERS1794769
HOLSTEN, ANDREAS FRITZ BRUNOMEMBER BOARD OF MANAGERS
HUBLEY, YOKOCFO/FINOP4297053
LI, SU-CHANGPRINCIPAL OPERATIONS OFFICER/FINOP4990155
LLOYD, KEITH ROSWELLMEMBER BOARD OF MANAGERS2836268
ROYAN, LEE-ANNCHIEF OPERATING OFFICER4860551
SOENNECKEN SCHMIDT, SILKEMEMBER BOARD OF MANAGERS
TONER, JOSEPH GREGORYTREASURER4910635

Disclosures

Regulatory Event9

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

COMMERZ MARKETS LLC

CRD#: 41957New York, NY 10281

TRUST BUT VERIFY

Monitor James Nespole

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

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics