James H. Godfrey
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 Hodge Godfrey, who also goes by Jim Godfrey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 9 firms and has passed the Series 63, Series 65, Series 7 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
July 10, 2012 - July 31, 2013
EQUUS FINANCIAL CONSULTING LLC
September 23, 2009 - July 9, 2010
CAMBRIA CAPITAL, LLC
October 7, 2005 - July 19, 2007
EQUITABLE ADVISORS, LLC
October 7, 2005 - July 19, 2007
EQUITABLE ADVISORS, LLC
October 30, 2002 - September 26, 2005
TRUIST INVESTMENT SERVICES, INC.
April 18, 2002 - September 26, 2005
TRUIST INVESTMENT SERVICES, INC.
June 23, 2000 - April 15, 2002
FERRIS, BAKER WATTS, LLC
July 7, 1997 - June 23, 2000
WACHOVIA SECURITIES, INC.
June 12, 1997 - July 7, 1997
WACHOVIA SECURITIES, INC.
November 18, 1992 - July 2, 1997
FIRST UNION CAPITAL MARKETS CORP.
December 19, 1991 - October 13, 1992
IDS LIFE INSURANCE COMPANY
December 19, 1991 - October 13, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
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
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
Red Flags
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