AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JM

James E. Moodhe

Some features on this profile are disabled
CRD#: 1293136
JM

Professional summary

James Edward Moodhe was barred by the SEC 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 2006. Prior to being barred, James had worked at 6 firms, which includes PREBON SECURITIES (USA) INC., PREBON FINANCIAL PRODUCTS INC., TULLETT PREBON FINANCIAL SERVICES LLC, TULLETT LIBERTY BROKERAGE INC., LABRANCHE & CO. LLC, COMMERZBANK CAPITAL MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 13, 2007 - June 13, 2007

PREBON SECURITIES (USA) INC.

BD
CRD#: 20431
JERSEY CITY, NJ
Past

April 13, 2007 - January 6, 2010

PREBON FINANCIAL PRODUCTS INC.

BD
CRD#: 29551
JERSEY CITY, NJ
Past

April 13, 2007 - June 30, 2017

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
JERSEY CITY, NJ
Past

April 5, 2007 - October 9, 2008

TULLETT LIBERTY BROKERAGE INC.

BD
CRD#: 19717
JERSEY CITY, NJ
Past

April 3, 2006 - March 22, 2007

LABRANCHE & CO. LLC

BD
CRD#: 32661
NEW YORK, NY
Past

January 24, 2006 - March 31, 2006

COMMERZBANK CAPITAL MARKETS CORP.

BD
CRD#: 21787
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 1/23/2006
Financial and Operations Principal Examination

Current Firm

PS
PREBON SECURITIES (USA) INC.
BABCOCK FULTON PREBON SECURITIES (U.S.A.) INC. | PREBON SECURITIES (USA) INC. | FULTON PREBON SECURITIES (U.S.A.) INC.

CRD#: 20431 / SEC#: , 8-38243

BD
Terminated by SEC on 07/30/2007
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/14/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PREBON YAMANE (USA) INCSHAREHOLDER
CURRIE, JULIAN HFINOP/CONTROLLER4337579
DOWNEY, MARK GERARDCFO/TREASURER2517476
GOULET, STEPHEN PAULSVP/ASSISTANT GENERAL COUNSEL/ASSISTANT SECRETARY4769810
MURPHY, ROBERT EMMETTSR. VICE PRESIDENT, ASSOCIATE GENERALCOUNSEL, CCO1224723
NOVAK, EDWARD JOSEPH JRPRESIDENT1300481

Disclosures

Regulatory Event1

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.

Company Information

PREBON SECURITIES (USA) INC.

CRD#: 20431

TRUST BUT VERIFY

Monitor James Moodhe

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics