James B. Eddy
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 Byron Eddy, who also goes by Jim Eddy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2010 - October 12, 2012
VOYA FINANCIAL ADVISORS, INC.
June 2, 2010 - October 12, 2012
VOYA FINANCIAL ADVISORS, INC.
February 5, 2010 - May 12, 2010
LPL FINANCIAL LLC
April 26, 2006 - February 6, 2009
CHARLES SCHWAB & CO., INC.
April 26, 2006 - February 6, 2009
CHARLES SCHWAB & CO., INC.
March 20, 2006 - April 17, 2006
VALIC FINANCIAL ADVISORS, INC.
September 28, 2005 - April 17, 2006
VALIC FINANCIAL ADVISORS, INC.
March 9, 2005 - June 10, 2005
BANC ONE SECURITIES CORPORATION
December 2, 2004 - March 11, 2005
USAA INVESTMENT SERVICES COMPANY
June 15, 1998 - September 2, 2004
CHARLES SCHWAB & CO., INC.
December 5, 1997 - May 4, 1998
J.P. MORGAN SECURITIES OF TEXAS, INC.
November 4, 1996 - November 19, 1997
PRUDENTIAL EQUITY GROUP, LLC
May 31, 1996 - November 7, 1996
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 8
Date: 7/7/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
