James Mantione
James Mantione is a registered investment advisor at Private Advisor Group, LLC, based in Medford, NY, with 26 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.00% |
Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.
Fee Estimator
Location
Medford, NY
Get directionsHistory
Regulatory History (3)
Customer Dispute
November 2009Customer Dispute
May 2009Employment Separation After Allegations
February 2005Other Business ActivitiesSells Insurance
James operates James Mantione Wealth Management, Inc. as a DBA for his LPL business. He also works as an agent selling life insurance and fixed annuities, dedicating minimal time to this activity, and provides investment advisory services through Private Advisor Group, spending nearly full-time hours on this.
Employment History
Current Registrations
Private Advisor Group, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Ifmg Securities, INC.Broker
American Investment Services, INC.Broker
Investec Ernst & CompanyBroker
Prudential Securities IncorporatedBroker
Josephthal & CO., INC.Broker
Tasin & Company, INC.Broker
State Registrations12 states
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
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