James R. Gandy
Professional summary
James Rodney Gandy JR., who also goes by James Rodney Gandy Jr, James Rodney Gandy, Rocky Gandy, is a registered financial advisor currently at POST OAK FINANCIAL, LLC located in Houston, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. James has worked at 12 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Rodney Gandy JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2012 - Present
POST OAK FINANCIAL, LLC
January 3, 2007 - January 22, 2008
IMS SECURITIES, INC.
June 25, 2002 - December 31, 2006
CETERA ADVISORS LLC
December 8, 2000 - December 31, 2006
CETERA ADVISORS LLC
November 16, 2000 - November 5, 2001
SLD AMERICA EQUITIES, INC.
March 21, 1998 - November 8, 2000
WALNUT STREET SECURITIES, INC.
October 7, 1997 - February 9, 1998
PRUCO SECURITIES, LLC.
February 14, 1996 - September 11, 1997
SENTRA SECURITIES CORPORATION
January 25, 1994 - December 31, 1994
NATHAN & LEWIS SECURITIES, INC.
February 8, 1993 - December 14, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
April 28, 1992 - December 31, 1992
IFG NETWORK SECURITIES, INC.
April 17, 1991 - March 5, 1992
MML INVESTORS SERVICES, LLC
October 26, 1984 - April 1, 1991
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/28/2013)
(3/26/2012)
Exams
Current Firm
POST OAK FINANCIAL, LLC
CRD#: 160257 / SEC#:
Contact information
Red Flags
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