James M. Rawdon
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 Michael Rawdon was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 13 firms and has passed the SIE, PC and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 1998 - July 16, 1998
BOE SECURITIES INC.
September 25, 1997 - March 18, 1999
DEN NORSKE BANK SECURITIES, INC.
April 1, 1993 - February 11, 1998
ABG SUNDAL COLLIER INC.
June 21, 1990 - January 28, 2008
EXETER, LTD.
May 4, 1989 - April 28, 2020
BILTMORE INTERNATIONAL CORPORATION
October 31, 1984 - November 17, 1988
J & L INVESTMENT SERVICES, INC.
August 7, 1984 - February 14, 1989
JJC SECURITIES CO., INC.
August 2, 1982 - January 4, 1989
JESUP & LAMONT SECURITIES CO., INC.
October 27, 1980 - January 18, 1991
KEANE SECURITIES CO., INC.
August 30, 1974 - December 1, 1980
JESUP & LAMONT SECURITIES CO., INC.
July 12, 1974 - October 2, 1976
DATAQUEST, INCORPORATED
September 7, 1971 - May 23, 1973
JESUP & LAMONT INCORPORATED
May 25, 1971 - March 5, 1976
H G DAVIS & CO INC
June 17, 1969 - August 30, 1974
JESUP & LAMONT INCORPORATED
State Registrations and Notice Filings
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Exams
PC
Date: 4/29/1980
AMEX Put and Call ExamSeries 40
Date: 6/9/1969
Registered Principal ExaminationCurrent Firm
BOE SECURITIES INC.
CRD#: 43486 / SEC#: , 8-50309
Contact information
Documents
Red Flags
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