Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Imperiale is a financial advisor with over 30 years of experience in the industry. James is currently registered with Wells Fargo Securities, LLC. James has held previous positions with Nomura Securities International, Inc., BTIG, LLC, Lehman Brothers Inc., J.P. Morgan Securities Inc., Donaldson, Lufkin & Jenrette Securities Corporation, Salomon Brothers Inc., Alex. Brown & Sons Incorporated, Banca IMI Securities Corp., and Mabon, Nugent & Co. James holds the following licenses and certifications: Series 7, Series 9, Series 10, Series 24, Series 55, Series 57TO, Series 63, and Series 99TO.
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.
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.
1
2
NY
11/06/2012 - Present
Wells Fargo Securities, LLC (New York NY)
NY
08/16/2010 - 10/05/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NJ
03/24/2008 - 06/14/2010
BTIG, LLC (RED BANK NJ)
NY
06/07/2001 - 04/03/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
03/02/2001 - 05/30/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
04/06/1999 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NJ
11/04/1997 - 04/08/1999
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
09/14/1993 - 10/17/1997
SALOMON BROTHERS INC. (NEW YORK NY)
NA
09/08/1992 - 08/30/1993
ALEX. BROWN & SONS INCORPORATED
NY
04/30/1991 - 08/11/1992
BANCA IMI SECURITIES CORP. (NEW YORK NY)
NA
03/20/1990 - 04/30/1991
MABON, NUGENT & CO.
BC
Issued 02/21/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/22/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/17/1990
Series 7 - General 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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