James F. Dudley
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 Frank Dudley SR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - April 29, 2015
SHEARSON FINANCIAL SERVICES, LLC
November 2, 2001 - January 4, 2012
CALDWELL INTERNATIONAL SECURITIES
April 7, 1997 - July 7, 1999
APS FINANCIAL CORPORATION
October 20, 1995 - April 9, 1997
ICBA SECURITIES
May 23, 1995 - April 9, 1997
VINING-SPARKS IBG, LLC
February 9, 1990 - May 31, 1995
M.G.S.I. SECURITIES, INC.
December 1, 1989 - February 6, 1990
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
October 7, 1988 - December 5, 1989
M.G.S.I. SECURITIES, 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
Current Firm
SHEARSON FINANCIAL SERVICES, LLC
CRD#: 38619 / SEC#: 801-61866, 8-48313
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
