James Augustus
Professional summary
James Augustus, who also goes by James A Augustus, James Anthony Augustus, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.
James is registered as a RR (Registered Representative) and started their career in finance in 2008. James has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Augustus's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 21, 2022 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 1 Corporate Drive, Shelton, CT 06484September 14, 2020 - September 15, 2022
CLARENDON INSURANCE AGENCY, INC.
October 8, 2019 - August 4, 2020
EMPOWER FINANCIAL SERVICES, INC.
July 8, 2010 - August 3, 2017
AMUNDI DISTRIBUTOR US, INC.
July 6, 2010 - August 3, 2017
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
March 10, 2009 - May 17, 2010
WOODBURY FINANCIAL SERVICES, INC.
March 9, 2009 - May 17, 2010
WOODBURY FINANCIAL SERVICES, INC.
May 5, 2008 - August 12, 2008
LPL FINANCIAL LLC
February 18, 2008 - August 12, 2008
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/21/2022)
(2/5/2024)
(2/5/2024)
Exams
Series 7TO
Date: 10/8/2019
General Securities Representative ExaminationFINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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Company Information
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570Shelton, CT 06484TRUST BUT VERIFY
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