Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carlone is a financial professional with over 20 years of experience in the industry. Currently, James is an active Registered Representative with Citigroup Global Markets Inc., located in New York, NY. Prior to joining Citigroup Global Markets Inc., James has held positions with DWS Distributors, Inc., JPMorgan Distribution Services, Inc., HSBC Securities (USA) Inc., Walnut Street Securities, Inc., Nathan & Lewis Securities, Inc., Paine Webber Incorporated, Guardian Investor Services Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds multiple FINRA licenses including Series 3, 7, 9, 10, 14, 24, 63 and 66. James has held a Principal license at his previous firms and specializes in Portfolio Management for Individuals and Businesses, as well as Asset Allocation Advice. James offers Financial Planning, Pension Consulting, and Publication of Periodicals as part of his advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
02/08/2023 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
03/16/2022 - 10/10/2022
DWS DISTRIBUTORS, INC. (NEW YORK NY)
NY
05/01/2017 - 04/20/2020
JPMORGAN DISTRIBUTION SERVICES, INC. (NEW YORK NY)
NY
05/17/2005 - 04/14/2017
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
CA
08/01/2003 - 05/04/2005
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
11/22/2000 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NJ
01/18/1996 - 04/02/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/29/1991 - 03/02/1993
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NY
05/24/1991 - 10/11/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 12/03/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/12/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2008
Series 14 - Compliance Officer Examination
BC
Issued 10/18/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/28/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/12/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2013
Series 3 - National Commodity Futures Examination
BC
Issued 05/23/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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