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125 E John Carpenter Frwy Suite 1300, Irving, TX 75062 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-13 |
| TX | RA | APPROVED | 2020-02-06 |
| CT | RA | APPROVED | 2019-05-10 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Total Financial Advisors, Llc | Bethpage | NY | 05/2007 | 05/2019 |
| United Capital Financial Advisers, Llc | Bethpage | NY | 05/2019 | Present |
| Goldman Sachs | New York | NY | 07/2019 | 11/2023 |
| Lion Street Financial | Bethpage | NY | 02/2024 | 11/2025 |
| Integrity Alliance, Llc. | Bethpage | NY | 11/2025 | Present |
JAMES PIANGOZZA IS AN INSURANCE AGENT LICENSED FOR LIFE INSURANCE, HEALTH INSURANCE AND/OR ANNUITY LINES OF BUSINESS WITH UNITED CAPITAL RISK MANAGEMENT, LLC. JAMES PIANGOZZA MAY RECEIVE COMPENSATION FROM INSURANCE COMPANIES FOR THE SALES OF INSURANCE PRODUCTS TO CLIENTS OR OTHER INDIVIDUALS. THIS GIVES JAMES PIANGOZZA AN INCENTIVE TO RECOMMEND INSURANCE PRODUCTS BASED ON THE COMPENSATION RECEIVED RATHER THAN ON THE CLIENT'S NEEDS. IT IS IMPORTANT TO NOTE, HOWEVER, THAT WHEN JAMES PIANGOZZA ACTS IN AN ADVISORY CAPACITY, HE HAS A FIDUCIARY OBLIGATION TO ACT IN YOUR BEST INTERESTS. United Capital; Investment Related-Yes; 24 Union Ave. Bethpage, NY 11714; I am an Investment Adviser Representative for United Capital; Start date 05/01/2011; 160 hours per month; 100 hours per month during trading hours; Developing financial plans and building discretionary investment portfolios for fee-based clients.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2022-06-27 |
| S65 | Uniform Investment Adviser Law Examination | 1996-05-21 |
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