James P. Bodine
Professional summary
James Prettyman Bodine, who also goes by James P Bodine, Jim Bodine, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Philadelphia, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 6 firms and has passed the Series 63, SIE, Series 50, Series 79, Series 7, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Prettyman Bodine's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2014 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 2400 Market Street Ste 200 Offsite At Fitler Club, Office #257, #259, Philadelphia, PA 19103January 2, 2013 - June 12, 2014
BB&T SECURITIES, LLC
March 1, 2006 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
August 21, 1997 - January 13, 2006
JANNEY MONTGOMERY SCOTT LLC
January 1, 1991 - September 2, 1997
FIRST UNION CAPITAL MARKETS CORP.
July 24, 1990 - January 1, 1991
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
(6/11/2014)
Exams
FINRA
Current Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
