James Naldi is a CFA-designated registered investment advisor, based in Encinitas, CA, with 22 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Encinitas, CA
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Vp Distributors, LLCBroker
June 2024 - Present · 2 yrs 4 mos
Virtus Investment Advisers, LLC
June 2024 - Present · 2 yrs 4 mos
Vp Distributors, LLC
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Independent Financial Group, LLC
March 2023 - May 2024 · 1 yr 2 mos
Independent Financial Group, LLCBroker
October 2022 - May 2024 · 1 yr 7 mos
Allianz Global Investors Managed Accounts LLC
April 2005 - August 2007 · 2 yrs 4 mos
Allianz Global Investors Distributors LLCBroker
February 2005 - October 2022 · 17 yrs 8 mos
American Skandia Marketing, INC.Broker
January 2004 - February 2005 · 1 yr 1 mo
Bear, Stearns & CO. INC.Broker
November 2003 - December 2003 · 1 mo
State Registrations2 states
CACT
AdvisorBroker
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Exams
No exam information available for this advisor.
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