James P. Boudouris
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 P Boudouris, who also goes by James Peter Boudouris, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - August 5, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
March 26, 2002 - April 12, 2002
WMA SECURITIES, INC.
February 11, 1999 - January 28, 2002
E*TRADE SECURITIES LLC
September 15, 1997 - September 15, 1998
H.J. MEYERS & CO., INC.
June 15, 1994 - December 12, 1995
NEXA SECURITIES
September 9, 1993 - June 29, 1994
REGENCY CAPITAL GROUP, INC.
August 12, 1991 - June 14, 1993
NEW ENGLAND SECURITIES
April 24, 1990 - October 10, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
