James J. Buddle
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 Joseph Buddle was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 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
January 7, 2008 - September 22, 2017
CAPITAL BROKERAGE CORPORATION
February 17, 2005 - July 14, 2008
CETERA FINANCIAL SPECIALISTS LLC
May 5, 2004 - August 3, 2004
HOCHMAN & BAKER SECURITIES, INC.
February 5, 2004 - May 5, 2004
HOCHMAN & BAKER SECURITIES, INC.
November 17, 2000 - July 14, 2008
CETERA INVESTMENT ADVISERS LLC
July 8, 1998 - September 27, 2004
CETERA FINANCIAL SPECIALISTS LLC
December 1, 1997 - January 7, 2008
CAPITAL BROKERAGE CORPORATION
September 30, 1997 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
May 25, 1994 - July 30, 1997
HORNOR, TOWNSEND & KENT, LLC
October 7, 1992 - April 19, 1994
FOLEY MUFSON HOWE & COMPANY
May 31, 1990 - January 1, 1991
BUTCHER & SINGER INC.
January 4, 1989 - September 2, 1992
FIRST UNION CAPITAL MARKETS CORP.
June 18, 1985 - January 16, 1989
BUTCHER & SINGER INC.
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: 4/12/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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