James J. Dodd
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 Joseph Dodd, who also goes by Jamejoseph Dodd, James Dodd, Jim Dodd, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2014 - December 31, 2015
OMNI FINANCIAL SECURITIES, INC.
January 5, 2009 - July 25, 2014
PFS INVESTMENTS INC.
December 7, 2006 - March 5, 2007
NATCITY INVESTMENTS, INC.
September 27, 1996 - December 1, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
March 1, 1996 - September 14, 1996
OMNI FINANCIAL SECURITIES, INC.
June 3, 1991 - September 9, 1994
THRIVENT INVESTMENT MANAGEMENT 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
OMNI FINANCIAL SECURITIES, INC.
CRD#: 29320 / SEC#: , 8-44034
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
