James NotoCRD Number: 1030904
Current Firm: Summit Financial Group Inc.
James Noto (CRD# 1030904) is an Investment Advisor Representative working at Summit Financial Group Inc. in Trinity, FL and has over 25 years of experience in the finance industry. James Noto has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Summit Brokerage Services Inc.||New Port Richey, FL||Mar 2005 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1993|
|S65||NASAA Investment Advisors Law Examination||Sep 1994|
- Customer Dispute
- Regulatory Event
Total Assets Under Management3,800MILLIONS
Total Number of Accounts27,685ACCOUNTS
Average Account Value$137,241
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV