Maureen C. James
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.
Maureen Catherine James, who also goes by Maureen C Devaney, Maureen Catherine Devaney, Maureen Catherine Haugh, was a registered financial professional .
Maureen is a previously registered financial professional and started their career in finance in 1994. Maureen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 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
July 2, 2007 - May 8, 2015
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 28, 2006 - July 3, 2007
RIVERSOURCE DISTRIBUTORS, INC.
August 18, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
August 18, 2004 - July 3, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 6, 2002 - June 24, 2004
CETERA INVESTMENT SERVICES LLC
August 2, 2001 - June 23, 2004
SLD AMERICA EQUITIES, INC.
October 10, 1997 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
September 18, 1995 - October 9, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
August 31, 1994 - June 19, 1995
SECURIAN FINANCIAL SERVICES, 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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
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.
