James D. Beddingfield
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 Douglas Beddingfield, who also goes by Jim Beddingfield, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 65, Series 63, Series 6 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
March 20, 2007 - October 17, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
September 26, 2002 - March 31, 2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
October 16, 2001 - October 1, 2002
METROPOLITAN LIFE INSURANCE COMPANY
October 16, 2001 - October 1, 2002
MSI FINANCIAL SERVICES, INC.
January 11, 2001 - September 28, 2001
NEW ENGLAND SECURITIES
July 6, 1999 - January 8, 2001
PARK AVENUE SECURITIES LLC
December 2, 1998 - July 6, 1999
FSC SECURITIES CORPORATION
October 3, 1997 - December 22, 1998
WMA SECURITIES, 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
UVEST FINANCIAL SERVICES GROUP, INC.
CRD#: 13787 / SEC#: 801-47970, 8-28549
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | PARENT COMPANY | |
| ARNOLD, DAN HOGAN JR | MANAGING DIRECTOR, HEAD OF STRATEGY | 2557410 |
| CASADY, MARK STEPHEN | CHAIRMAN OF THE BOARD | 2313239 |
| DWYER, WILLIAM EDWARD III | MANAGING DIRECTOR, PRESIDENT, NATIONAL SALES & MARKETING | 1274680 |
| LANK, STEPHEN | SVP OPERATIONS | 2997028 |
| MCDERMOTT, JOHN JEROME JR. | MANAGING DIRECTOR, CHIEF ENTERPRISE RISK OFFICER | 4025460 |
| MITCHELL, CHRISTOPHER MILLS | FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | EVP AND CHIEF COMPLIANCE OFFICER - BROKERAGE | 1347526 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
Red Flags
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