James L. Boudreaux
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 Lee Boudreaux was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1972. James had worked at 18 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2018 - November 30, 2020
SECURITIES AMERICA, INC.
December 12, 2017 - November 20, 2020
THE PATRIOT FINANCIAL GROUP, LLC
October 10, 2017 - July 5, 2018
LPL FINANCIAL LLC
March 25, 2017 - August 1, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - August 1, 2017
MML INVESTORS SERVICES, LLC
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 23, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
December 23, 2010 - August 1, 2017
MARINER
November 12, 2002 - January 2, 2015
NEW ENGLAND SECURITIES
June 16, 2002 - November 12, 2002
ALLMERICA INVESTMENT MANAGEMENT CO INC
February 26, 2002 - November 5, 2002
VERAVEST INVESTMENTS, INC.
November 30, 1999 - January 29, 2002
NEW ENGLAND SECURITIES
January 21, 1997 - September 11, 1998
EQUITY SERVICES, INC.
May 20, 1996 - December 7, 1999
NATHAN & LEWIS SECURITIES, INC.
April 12, 1994 - May 23, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 19, 1991 - April 1, 1994
OSAIC FS, INC.
June 19, 1983 - January 7, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
March 14, 1983 - June 7, 1991
SCHUPARRA SECURITIES CORPORATION
December 28, 1976 - June 16, 1983
GUARDIAN INVESTOR SERVICES LLC
January 30, 1976 - March 17, 1978
PAUL REVERE EQUITY SALES COMPANY (THE)
January 30, 1976 - March 8, 1983
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
January 10, 1972 - December 11, 1976
EQUITY 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
Series 1
Date: 1/4/1972
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
