James Augustus
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 Augustus, who also goes by James A Augustus, James Anthony Augustus, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2022 - December 15, 2025
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 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
Exams
Series 7TO
Date: 10/8/2019
General Securities Representative ExaminationCurrent 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 | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| 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
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.
