JR
JR
James Reale is a registered investment advisor, based in Clifton Park, NY, with 38 years of industry experience.
Location
Clifton Park, NY
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2013Denied
Other Business ActivitiesSells Insurance
James is the President and Chief Operating Officer of Reale Managed Assets Inc, a registered investment advisor, dedicating nearly all of his time to this role. He is also a licensed financial representative and insurance agent, spending about 10-20% of his time on investments, life insurance, long-term care (LTC), and fixed annuities.
Employment History
Current Registrations
Stonex Securities INC.Broker
September 2014 - Present · 11 yrs 8 mos
Reale Managed Assets, INC.
October 2003 - Present · 22 yrs 7 mos
Previous Registrations
Wrp Investments, INC.Broker
January 2007 - September 2014 · 7 yrs 8 mos
Questar Capital CorporationBroker
February 2004 - December 2006 · 2 yrs 10 mos
Next Financial Group, INC.Broker
July 1999 - February 2004 · 4 yrs 7 mos
Advantage Capital CorporationBroker
February 1988 - July 1999 · 11 yrs 5 mos
State Registrations11 states
CTDEFLMAMDMTNCNJNYPATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.