James Edward Moodhe
Professional Summary
James Edward Moodhe was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2006 - 2007. James had worked at 6 firms and has passed the Series 27 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
BABCOCK FULTON PREBON SECURITIES (U.S.A.) INC. | PREBON SECURITIES (USA) INC. | FULTON PREBON SECURITIES (U.S.A.) INC.
Contact Information
Established
New York since 07/14/1987Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PREBON YAMANE (USA) INC | SHAREHOLDER | — |
| CURRIE, JULIAN H | FINOP/CONTROLLER | 4337579 |
| DOWNEY, MARK GERARD | CFO/TREASURER | 2517476 |
| GOULET, STEPHEN PAUL | SVP/ASSISTANT GENERAL COUNSEL/ASSISTANT SECRETARY | 4769810 |
| MURPHY, ROBERT EMMETT | SR. VICE PRESIDENT, ASSOCIATE GENERALCOUNSEL, CCO | 1224723 |
| NOVAK, EDWARD JOSEPH JR | PRESIDENT | 1300481 |
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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