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Jamie William Senaratna

CRD# 2037046·Registered 1990 - 1994
Previously Registered: Being a previously registered professional could mean that Jamie 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.

Professional Summary

Jamie William Senaratna was a registered financial advisor. Jamie was a previously registered financial professional and started their career in finance 1990 - 1994. Jamie had worked at 3 firms and has passed the Series 63, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

36 years in the financial services industry

Current & Past Employments

DAIN RAUSCHER INCORPORATED·CRD# 7600
BD
November 16, 1993 - March 17, 1994
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
September 4, 1990 - November 29, 1993
BLUNT ELLIS & LOEWI INCORPORATED·CRD# 7580
BD
March 20, 1990 - September 4, 1990

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Current Firm

DR
DAIN RAUSCHER INCORPORATED

DAIN BOSWORTH INCORPORATED | DAIN, BOSWORTH INCORPORATED | DAIN RAUSCHER INCORPORATED

CRD#: 7600 / SEC#: 8-3259
BD
Terminated by SEC on 05/08/1998

Contact Information

Established

Delaware since 03/16/1929

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1990About the Series 63 exam

Series 3 — National Commodity Futures Examination

Passed Jan 1993About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Mar 1990About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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