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James Giovanni Novello

Oppenheimer & Co. Inc.

Asheville, NC

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Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-07-03
  • NC RA
    APPROVED
    Since 2024-07-03

Branch Locations

10 Brook Street Suite 290, Asheville, NC 28803 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
John Hancock Distributors Llc Boston MA 04/2021 11/2023
John Hancock Boston MA 03/2021 11/2023
Unemployed Tallahassee FL 09/2015 01/2019
Professional Staffing Group (Tripadvisor) Boston MA 01/2019 08/2019
Randstad Staffing (John Hancock) Boston MA 09/2019 02/2020
John Hancock Boston MA 02/2020 03/2021
Oppenheimer & Co. Inc. Asheville NC 07/2024 Present
Unemployed Asheville NC 11/2023 06/2024
  • 04/2021 → 11/2023
    John Hancock Distributors Llc
    Boston, MA
  • 03/2021 → 11/2023
    John Hancock
    Boston, MA
  • 09/2015 → 01/2019
    Unemployed
    Tallahassee, FL
  • 01/2019 → 08/2019
    Professional Staffing Group (Tripadvisor)
    Boston, MA
  • 09/2019 → 02/2020
    Randstad Staffing (John Hancock)
    Boston, MA
  • 02/2020 → 03/2021
    John Hancock
    Boston, MA
  • 07/2024 → Present
    Oppenheimer & Co. Inc.
    Asheville, NC
  • 11/2023 → 06/2024
    Unemployed
    Asheville, NC
Previous Registrations
Other Businesses

GLASSMINE PUBLISHING LLC, NON-INVESTMENT, 4030 WAKE FOREST ROAD, STE 349, RALEIGH, NC 27609, EDITING/PUBLISHING, OWNER, 1/2024 START, OWNER OF LLC

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-08-30
S63 Uniform Securities Agent State Law Examination 2021-03-05
  • S65 Uniform Investment Adviser Law Examination
    2021-08-30
  • S63 Uniform Securities Agent State Law Examination
    2021-03-05
Other Names
  • James G Novello

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · ASHEVILLE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASHEVILLE, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
EDWARD JONES · ASHEVILLE, NC
LPL FINANCIAL LLC · ASHEVILLE, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Asheville, NC
LPL FINANCIAL LLC · ASHEVILLE, NC

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