Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Noto is a financial advisor at Independent Financial Group, LLC, with over 36 years of experience in the financial industry. James Noto is registered in 27 states and offers financial planning, portfolio management, and pension consulting services. James Noto is a Certified Financial Planner and holds various securities licenses including Series 7, 6, 22, 24, 63, and 65. He is also an insurance agent. James Noto is committed to helping individuals and families achieve their financial goals.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
10/22/2018 - Present
Independent Financial Group, LLC (TRINITY FL)
FL
03/02/2005 - 10/31/2018
SUMMIT BROKERAGE SERVICES, INC. (TRINITY FL)
FL
10/02/1998 - 02/17/2005
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
01/02/1998 - 09/18/1998
VANGUARD CAPITAL (DEL MAR CA)
NY
03/26/1993 - 01/09/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
09/28/1982 - 04/20/1993
CIGNA SECURITIES, INC. (RADNOR PA)
IA
Issued 09/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/23/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1993
Series 7 - General Securities Representative Examination
BC
Issued 06/02/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 09/08/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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