James E. Chiudioni
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 Edward Chiudioni was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 16 firms and has passed the Series 63, SIE, Series 7, Series 6 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
February 3, 2021 - June 14, 2024
SECURITIES AMERICA, INC.
February 3, 2021 - August 23, 2024
TRIAD ADVISORS LLC
November 21, 2018 - September 1, 2023
OSAIC SERVICES, INC.
November 21, 2018 - November 3, 2023
FSC SECURITIES CORPORATION
November 21, 2018 - January 19, 2024
WOODBURY FINANCIAL SERVICES, INC.
November 2, 2018 - August 29, 2025
OSAIC WEALTH, INC.
November 6, 2013 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
August 30, 2011 - November 2, 2018
SIGNATOR INVESTORS, INC.
August 2, 2007 - August 29, 2011
WALNUT STREET SECURITIES, INC.
August 2, 2007 - August 29, 2011
TOWER SQUARE SECURITIES, INC.
August 2, 2007 - August 29, 2011
NEW ENGLAND SECURITIES
August 2, 2007 - August 29, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
March 27, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 2007 - August 29, 2011
MSI FINANCIAL SERVICES, INC.
June 2, 2005 - March 7, 2007
NYLIFE SECURITIES LLC
December 5, 2000 - August 16, 2004
MFS FUND DISTRIBUTORS, 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
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.
