James Comblo has been Managing Member & Chief Compliance Officer of FSC Wealth Advisors since January 2018, is a control person of the firm and directly owns 75% or more of it.
FSC Wealth Advisors, LLC is a Fishkill, NY firm with $122M under management, 688 clients and 5 advisers across 3 offices, as of its March 2026 filing.
James M. Comblo is a Partner of Prosperity Capital Advisors (FSC Wealth Advisors), based in Fishkill, NY. He builds and maintains the firm’s Tactical Portfolios, reviews client accounts against each client’s goals and needs, and leads research and development initiatives. His planning work integrates investments, taxes, estate planning and protection strategies.
James Comblo’s longest registration was 6 years at Next Financial Group, Inc. (2015–2021). Before joining FSC Wealth Advisors in 2021, James Comblo was registered through Next Financial Group, Inc.
- Prosperity Capital AdvisorsAlso current– present · 1 yearFishkill, NY · Adviser representative · Firm CRD 156480
- FSC Wealth Advisors, LLCCurrent– present · 5 yearsFishkill, NY · Adviser representative · Firm CRD 154382
- Next Financial Group, Inc.– · 6 yearsWappingers Falls, NY · Adviser representative · Firm CRD 46214
Investment adviser representative registrations
James Comblo is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from August 2021; the most recent is Texas, in September 2025.
- New YorkSince 10 August 2021
- TexasResidentSince 8 November 2024
- TexasSince 12 September 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 6 September 2016 |
| Series 7 | General Securities Representative Examination | 10 July 2015 |
| Series 66 | Uniform Combined State Law Examination | 22 October 2014 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 January 2014 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 12 December 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- James Michael Comblo
- CRD
- 6220665
- Firm
- FSC Wealth Advisors · CRD 154382
- Role
- Managing Member & Chief Compliance Officer
- Office
- 1 SUMMIT COURT, SUITE 100, Fishkill, NY 12524
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2013
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- fscwealthadvisors.com
Where does James Comblo work?
James Comblo has been Managing Member & Chief Compliance Officer of FSC Wealth Advisors, LLC since January 2018, and is a control person of the firm.
Is James Comblo a financial advisor?
Yes. James Comblo has a current investment-adviser registration in New York, Texas and Texas, through FSC Wealth Advisors since August 2021.
How many years of experience does James Comblo have?
James Comblo has 12 years in the financial industry, since December 2013, across 3 adviser firms.
What exams has James Comblo passed?
James Comblo has passed 5 licensing exams: the Series 6, Series 63, Series 66, Series 7 and Series 65. The earliest, the Series 6, was passed in December 2013. FINRA credited James Comblo with the SIE, which began in October 2018.
Where is James Comblo based?
James Comblo’s registered office is in Fishkill, NY.
Is James Comblo registered with FINRA?
Yes. James Comblo has a current broker registration, under CRD 6220665.
Source: FINRA BrokerCheck
How can I verify James Comblo’s record?
Search CRD 6220665 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish James Comblo’s full registration record.