James E. Wayman
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 Eldon Wayman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2003 - July 7, 2004
DUNWOODY BROKERAGE SERVICES, INC.
April 19, 1988 - September 28, 1995
GRUNTAL & CO., L.L.C.
April 9, 1985 - March 9, 1988
MOSELEY SECURITIES CORPORATION
September 21, 1981 - April 11, 1985
PRUDENTIAL EQUITY GROUP, LLC
November 15, 1976 - October 3, 1981
CIBC WORLD MARKETS CORP.
January 16, 1975 - December 3, 1976
THE CHICAGO CORPORATION
March 23, 1972 - February 20, 1975
H. B. SHAINE & CO., INC.
December 5, 1967 - April 27, 1972
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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
Series 1
Date: 12/4/1967
Registered Representative ExaminationCurrent Firm
DUNWOODY BROKERAGE SERVICES, INC.
CRD#: 31183 / SEC#: , 8-45423
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
