James M. Dufresne
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 M Dufresne, who also goes by James Mcginnis Dufresne, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2017 - April 18, 2019
TMD & ASSOCIATES, INC.
August 8, 2016 - July 24, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
August 4, 2016 - July 24, 2017
THRIVENT INVESTMENT MANAGEMENT INC.
October 6, 2015 - August 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 6, 2015 - August 3, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2014 - September 24, 2015
UBS FINANCIAL SERVICES INC.
April 14, 2014 - May 23, 2014
LONGBOARD ASSET MANAGEMENT
January 14, 2013 - May 1, 2014
NORTHERN LIGHTS DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TMD & ASSOCIATES, INC.
CRD#: 113896 / SEC#: 801-66454
Contact information
Red Flags
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