James J. Seuffert
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Joseph Seuffert, who also goes by James Joesph Seuffert, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 5 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 2004 - December 31, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
December 15, 2003 - July 6, 2012
PERSHING LLC
September 5, 1996 - December 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
July 31, 1993 - August 22, 1995
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
April 22, 1982 - May 14, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LOCKWOOD FINANCIAL SERVICES, INC.
CRD#: 40655 / SEC#: , 8-49116
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LFG, INC. | PARENT CORPORATION | |
| BICKET, PATRICIA ANN | SECRETARY | 4030557 |
| BRUECKNER, RICHARD FREDERICK | DIRECTOR | 878486 |
| DETWILER, ELIZABETH C | ASST. SECRETARY | 4361137 |
| DUDDIE, ROBERT JOSEPH | CHIEF OPERATIONS OFFICER/VP | 1498367 |
| GIZZI, EMIL | CHIEF FINANCIAL OFFICER/FINOP | 1330391 |
| LOGUE, MICHELLE MARIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2169361 |
| MASTRO, THOMAS J. | TREASURER | 3242279 |
| MCCLELLAN, CHRISTINA MARIE | CHIEF FINANCIAL OFFICER | 4369407 |
| REINHART, LEONARD ALAN | DIRECTOR/VP | 871907 |
| SHEA, BRIAN THOMAS | CHAIRMAN | 1176298 |
| SISLER, HEATHER | ASST. SECRETARY | 4604058 |
| ZANGRE, ANTHONY | VICE PRESIDENT | 4240260 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
