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JB

James D. Briggs

STATESMAN CORPORATE FINANCE
Houston, TX 77027
Some features on this profile are disabled
CRD#: 6634851
JB

Professional summary

James Dudley Briggs SR., who also goes by James Dudley Briggs, is a registered financial professional currently at STATESMAN CORPORATE FINANCE, LLC located in Houston, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2016. James has worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Dudley Briggs

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 James Dudley Briggs SR.'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

November 26, 2016 - Present

STATESMAN CORPORATE FINANCE, LLC

Office #1: 1900 West Loop South Suite 850, Houston, TX 77027
BD
CRD#: 142327
Houston, TX

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
Louisiana
(5/29/2019)
RR
Texas
(4/17/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 11/26/2016
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STATESMAN CORPORATE FINANCE, LLC
STATESMAN CORPORATE FINANCE, LLC

CRD#: 142327 / SEC#: , 8-67454

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

Main Address
1900 West Loop South Suite 850, Houston, TX 77027
Mailing Address
1900 West Loop South Suite 850, Houston, TX 77027
Phone number
(713) 595-1340
Established
Texas since 12/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ACTKINSON, SCOTT RAYMEMBER, SECRETARY, FINOP,CFO,CCO1437005
JACO, WILLIAM HOWARD IIIMEMBER, PRESIDENT, CEO5241944
TOMLINSON, WALTER ROBERTMEMBER, ACO, COO5241949

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

STATESMAN CORPORATE FINANCE, LLC

CRD#: 142327Houston, TX 77027

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