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JG

Jeffrey C. Gudim

Some features on this profile are disabled
CRD#: 6290010
JG

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.

Jeffrey C Gudim, who also goes by Gudim C Jeffrey, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 2014. Jeffrey had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gudim C Jeffrey

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 3, 2021 - August 26, 2021

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
WAYZATA, MN
Past

June 2, 2021 - August 25, 2021

NEW ERA FINANCIAL ADVISORS, INC.

RIA
CRD#: 110603
WAYZATA, MN
Past

May 11, 2020 - May 3, 2021

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

BD
CRD#: 130139
PLYMOUTH, MN
Past

February 10, 2020 - April 30, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
ARDEN HILLS, MN
Past

August 21, 2018 - July 16, 2019

ADVISORNET WEALTH PARTNERS

RIA
CRD#: 113074
MINNEAPOLIS, MN
Past

July 12, 2018 - August 2, 2019

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
MINNEAPOLIS, MN
Past

June 11, 2018 - August 2, 2019

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
MINNEAPOLIS, MN
Past

December 8, 2015 - June 6, 2018

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MINNEAPOLIS, MN
Past

December 8, 2015 - June 6, 2018

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MINNEAPOLIS, MN
Past

September 4, 2014 - October 30, 2015

FOCUS FINANCIAL

RIA
CRD#: 116140
MINNEAPOLIS, MN
Past

July 25, 2014 - November 2, 2015

OSAIC WEALTH, INC.

BD
CRD#: 23131
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/9/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/24/2014
General Securities Representative Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

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

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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