James J. Eady
Professional summary
James Jameke Eady was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, James had worked at 5 firms, which includes WAMU INVESTMENTS INC., CITICORP INVESTMENT SERVICES, AUERBACH POLLAK & RICHARDSON INC., SHAMUS GROUP INC., D. H. BLAIR & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2003 - March 14, 2006
WAMU INVESTMENTS, INC.
June 17, 1998 - December 9, 2003
CITICORP INVESTMENT SERVICES
September 24, 1997 - March 10, 1998
AUERBACH, POLLAK & RICHARDSON INC.
August 21, 1997 - October 8, 1997
SHAMUS GROUP, INC.
March 27, 1997 - July 23, 1997
D. H. BLAIR & CO., 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
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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