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JS

James M. Studebaker

Some features on this profile are disabled
CRD#: 1622637
JS

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 Michael Studebaker was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1987. James had worked at 4 firms and has passed the Series 63 and Series 6 exams.

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

July 17, 2000 - December 22, 2000

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

December 22, 1998 - October 7, 1999

TRIVE NEW YORK LLC

BD
CRD#: 21946
NEW YORK, NY
Past

September 29, 1994 - December 31, 1996

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

May 20, 1987 - December 31, 1988

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518

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

State Security Law Exam
RR
Series 63
Date: 8/29/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/26/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

US
USALLIANZ SECURITIES, INC.
LIFEUSA SECURITIES INC | USALLIANZ SECURITIES, INC. | LIFEUSA SECURITIES, INC.

CRD#: 40875 / SEC#: , 8-49216

BD
Terminated by SEC on 02/18/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
Minnesota since 02/15/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICASHAREHOLDER
HOWELL, RUTH ANNETTECHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL
INGERSOLL, THADDEUS WINTHROP IIICOMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL2616975
JORGENSEN, MICHAEL JAMESPRESIDENT2676329
REITAN, EMILY SUZANNECHIEF FINANCIAL OFFICER & TREASURER5209812
VITIELLO, VINCENT GERARDCHAIRMAN OF THE BOARD1059845

Disclosures

Regulatory Event3

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

USALLIANZ SECURITIES, INC.

CRD#: 40875

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