James L. Moody
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 Louis Moody Jr, who also goes by James Louis Moody Jr, Jim Moody, James Louis Moody, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2021 - September 18, 2025
SYMETRA SECURITIES, INC.
April 3, 2020 - December 31, 2020
DELAWARE DISTRIBUTORS, L.P.
March 7, 2014 - October 31, 2019
FORESTERS FINANCIAL SERVICES, INC.
March 20, 2012 - December 2, 2013
DESTRA CAPITAL INVESTMENTS LLC
December 8, 2009 - August 30, 2011
CW SECURITIES, LLC
August 26, 2008 - June 19, 2009
NYLIFE SECURITIES LLC
April 17, 2007 - November 28, 2007
TRANSAMERICA CAPITAL, LLC
May 17, 2006 - April 3, 2007
SII INVESTMENTS, INC.
May 9, 2001 - March 24, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
July 6, 2000 - May 16, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
August 14, 1998 - July 21, 1999
GUARANTY BROKERAGE SERVICES, INC.
September 12, 1994 - August 11, 1998
NYLIFE SECURITIES 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
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER, VICE PRESIDENT | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL, TREASURER, CHIEF FINANCIAL OFFICER | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 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.
