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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Montalto is an active financial advisor with RBC Capital Markets, LLC. James has been in the financial services industry since 1980. James is licensed to provide investment advice in New York and Texas. James is registered with FINRA, the MSRB, and is a registered investment advisor in New York. James has experience working with individuals, high-net-worth individuals, corporations, and other businesses. James also has experience providing financial planning, portfolio management, and pension consulting services. James is a registered representative with RBC Capital Markets, LLC and is a member of FINRA and the MSRB. James previously worked with Lehman Brothers, E. F. Hutton & Company, and David Lerner Associates.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
02/08/2010 - Present
RBC Capital Markets, LLC (JERICHO NY)
CT
12/24/1992 - 12/15/2005
ADVEST, INC. (HARTFORD CT)
MO
10/24/1990 - 12/01/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/15/1988 - 11/13/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/05/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
07/10/1980 - 11/01/1984
DAVID LERNER ASSOCIATES, INC.
IA
Issued 07/06/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 06/21/1980
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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