James S Rescigno

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-10-15
NJ	RA	APPROVED	2020-09-03

Branch Locations

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

Organization	City	State	From	To
Keybanc Capital Markets Inc.	New York	NY	04/2015	02/2017
Penserra Securities	New York	NY	06/2017	11/2018
Unemployed	New York	NY	03/2017	06/2017
Guardian Life Insurance Company Of America	Cranford	NJ	12/2018	01/2020
Park Avenue Securities	Cranford	NJ	12/2018	01/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	07/2020	Present
Unemployed	Cranford	NJ	02/2020	06/2020
Bank Of America, N.A.	Pennington	NJ	09/2020	Present

04/2015 → 02/2017

Keybanc Capital Markets Inc.

New York, NY
06/2017 → 11/2018

Penserra Securities

New York, NY
03/2017 → 06/2017

Unemployed

New York, NY
12/2018 → 01/2020

Guardian Life Insurance Company Of America

Cranford, NJ
12/2018 → 01/2020

Park Avenue Securities

Cranford, NJ
07/2020 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
02/2020 → 06/2020

Unemployed

Cranford, NJ
09/2020 → Present

Bank Of America, N.A.

Pennington, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-08-31
S63	Uniform Securities Agent State Law Examination	1999-12-09