James M. Madden
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 Michael Madden, who also goes by Jim Madden, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, SIE, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - July 10, 2017
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
February 28, 2014 - July 10, 2017
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
March 20, 2009 - February 26, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 20, 2009 - February 26, 2014
RAYMOND JAMES & ASSOCIATES, INC.
December 15, 1998 - April 14, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 14, 2009
CITIGROUP GLOBAL MARKETS INC.
September 26, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
January 19, 1983 - September 15, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 5
Date: 1/26/1983
Interest Rate Options ExaminationCurrent Firm
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
CRD#: 8478 / SEC#: 801-63564, 8-25452
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINANCIAL SERVICES HOLDINGS, LLC | SOLE SHAREHOLDER | |
| COKER, KAREN LE'ELLEN | CHIEF RISK OFFICER | 2731928 |
| MUELLER, CHRISTOPHER BRIAN | CHIEF OPERATIONS OFFICER | 2098597 |
| PARKER, RICHARD WILSON | CEO | 5497397 |
| REYNOLDS, MATTHEW MARK | PRESIDENT / FINOP / PFO / POO/CCO | 4077413 |
| RUDNICK, REGINA MARY | HEAD OF ADVISOR SERVICES | 2373530 |
| TAYLOR, CHRISTIAN GABRIEL | CHIEF COMPLIANCE OFFICER | 5462381 |
| TITAK, JAMES JOHN | CHAIRMAN OF THE BOARD | 1008441 |
Disclosures
| Regulatory Event | 3 |
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.
