James T. Walden

MFS FUND DISTRIBUTORS

Boston, MA 02199

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CRD#: 2088191

Professional summary

James Thomas Walden is a registered financial professional currently at MFS FUND DISTRIBUTORS, INC. located in Boston, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

Current

December 2, 2014 - Present

MFS FUND DISTRIBUTORS, INC.

Office #1: 111 Huntington Avenue, Boston, MA 02199

CRD#: 31052

Boston, MA

Past

February 6, 2002 - December 31, 2002

AMERICAN CENTURY BROKERAGE, INC.

CRD#: 42846

KANSAS CITY, MO

Past

February 24, 2000 - October 27, 2014

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

March 17, 1999 - February 29, 2000

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

September 5, 1991 - February 25, 1998

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/2/2014)

Arizona
(12/2/2014)

Colorado
(12/2/2014)

Kansas
(12/2/2014)

Louisiana
(12/2/2014)

Mississippi
(12/2/2014)

Missouri
(12/2/2014)

New Mexico
(12/2/2014)

Oklahoma
(12/2/2014)

Texas
(12/2/2014)

Utah
(12/2/2014)

Wyoming
(12/2/2014)

Exams

State Security Law Exam

Series 63

Date: 9/26/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/18/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/7/1990

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MFS FUND DISTRIBUTORS, INC.

MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.

CRD#: 31052 / SEC#: , 8-45321

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

111 Huntington Avenue, Boston, MA 02199

Mailing Address

111 Huntington Avenue, Boston, MA 02199

Phone number

(617) 954-5000

Established

Delaware since 10/27/1992

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MASSACHUSETTS FINANCIAL SERVICES COMPANY	PARENT COMPANY
GEREMIA, CAROL WILLIAM	DIRECTOR AND CHAIRMAN OF THE BOARD	1456883
HARDIN, HEIDI WALTER	SECRETARY	2619251
HUNT, MICHAEL ANDREW	CHIEF COMPLIANCE OFFICER	4150065
KEENAN, MICHAEL SEAN	PRESIDENT AND DIRECTOR	2324763
SMELSTOR, JOSEPH JOHN IV	TREASURER AND SENIOR GROUP CONTROLLER	6247186

Disclosures

Regulatory Event

Red Flags

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James T. Walden

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Thomas Walden's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN CENTURY BROKERAGE, INC.

AMERICAN CENTURY INVESTMENT SERVICES INC.

TRANSAMERICA SECURITIES SALES CORPORATION

AMERICAN CENTURY INVESTMENT SERVICES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/26/1990

Series 7TO

Date: 10/18/2021

SIE

Date: 10/1/2018

Series 6

Date: 11/7/1990

FINRA

Current Firm

MFS FUND DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MFS FUND DISTRIBUTORS, INC.

TRUST BUT VERIFY

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