James
Ugone
Novem Group
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About this Advisor
James Ugone is a financial advisor who works out of Topsfield, Massachusetts with 9 years of industry experience. Ugone is on the advisory team at Novem Group. The advisor has gained experience at American Portfolios Financial Services, Inc, Apfs Wealth Management, Inc and American Portfolios Advisors, Inc. Ugone holds Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and can advise clients in Arizona, California, Colorado, Florida, Illinois, Maine, Massachusetts, Michigan, New Hampshire, New York, North Carolina, Pennsylvania, South Carolina, Utah and Washington. Novem Group is an advisory business operating out of Rochester, NY. The investment advisory business has offices in eight locations and a total of 57 advisors. It handles $1 billion in total assets among its 4,203 accounts, making it one of the larger firms in the United States by assets under management. The firm provides financial advisory services to three charitable organizations. Of its 4,203 accounts, just 7% are associated with high-net-worth investors who have more than $1 million in assets. The advisory firm provides a number of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers, publication of newsletters and educational seminars. Fees for financial advice largely depend on which services the firm provides the client. However, fee types billed by Novem Group may include asset-based, hourly and fixed fees.
Certifications and Registrations
Years Registered*
Services Offered
Fee Structure
Office Location
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Novem Group Brokerage Details
$1,072,749,714
57
4,203
$255,234
Investment Advisory Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers
- Publication of periodicals or newsletters
- Educational seminars/workshops
James Ugone Work History
James has been registered as a financial advisor for 9 years.*
Apfs Wealth Management, Inc
American Portfolios Financial Services, Inc
American Portfolios Advisors, Inc
*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.
Disclosures
Please visit the SEC profile of James Ugone to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.
Financial Advisors at Novem Group
Niagara Falls, NY
Rochester, NY
Rochester, NY
Rochester, NY
Rochester, NY
Grand Island, NE
Rochester, NY
Rochester, NY
The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.
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