James P. Arndts
Professional summary
James Philip Arndts was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, James had worked at 4 firms, which includes WMA SECURITIES INC., WS GRIFFITH SECURITIES INC., PRUCO SECURITIES LLC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1997 - December 31, 1998
WMA SECURITIES, INC.
August 19, 1994 - May 19, 1997
WS GRIFFITH SECURITIES, INC.
January 25, 1983 - August 24, 1994
PRUCO SECURITIES, LLC.
June 25, 1982 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
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Exams
Current Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
Red Flags
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