James E. Rudolph
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 Rudolph, who also goes by Jim Rudolph, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 1998 - March 3, 1999
SAN CLEMENTE SECURITIES, INC.
March 21, 1998 - November 17, 1998
RUSSIAN RIVER FINANCIAL SERVICES, INC.
November 25, 1997 - June 8, 1998
ARAGON 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
SAN CLEMENTE SECURITIES, INC.
CRD#: 21895 / SEC#: , 8-39369
Contact information
Documents
Disclosures
| Regulatory Event | 14 |
| Arbitration | 4 |
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.
