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JD

Juliana K. Dodson

PAYDEN & RYGEL DISTRIBUTORS
Los Angeles, CA 90071-1536
Some features on this profile are disabled
CRD#: 4862485
JD

Professional summary

Juliana K Dodson is a registered financial professional currently at PAYDEN & RYGEL DISTRIBUTORS located in Los Angeles, California.

Juliana is registered as a RR (Registered Representative) and started their career in finance in 2005. Juliana has worked at 2 firms and has passed the Series 63, Series 6TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juliana K Dodson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 27, 2018 - Present

PAYDEN & RYGEL DISTRIBUTORS

Office #1: 333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
BD
CRD#: 29868
Los Angeles, CA
Past

September 20, 2005 - August 10, 2018

IMPERIAL CAPITAL, LLC

BD
CRD#: 43744
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/27/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/15/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/19/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/12/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

P&
PAYDEN & RYGEL DISTRIBUTORS
PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868 / SEC#: , 8-44622

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Mailing Address
333 South Grand Ave 39th Floor, Los Angeles, CA 90071-1536
Phone number
(213) 625-1900
Established
California since 02/13/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PAYDEN & RYGELSOLE SHAREHOLDER
HERSH, BRADLEY FORRESTCHIEF FINANICAL OFFICER2244165
HUGHES, JEREMY RICHARDCHIEF COMPLIANCE OFFICER4655297
PAYDEN, JOAN ANNCHAIRMAN, CEO, PRESIDENT AND DIRECTOR358476

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.

Company Information

PAYDEN & RYGEL DISTRIBUTORS

CRD#: 29868Los Angeles, CA 90071-1536

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