James M. Burness
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 Michael Burness, who also goes by James M Burness, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2023 - June 30, 2025
DUBLIN WEALTH MANAGEMENT, INC.
February 1, 2011 - December 31, 2022
DUBLIN WEALTH MANAGEMENT, INC.
May 26, 2010 - December 31, 2010
DUBLIN WEALTH MANAGEMENT, INC.
March 16, 2004 - May 19, 2010
AURA ASSET MANAGEMENT, INC.
April 11, 2003 - December 31, 2004
AURA FINANCIAL SERVICES, INC.
January 4, 2002 - December 31, 2005
AURA FINANCIAL SERVICES, INC.
September 6, 1995 - January 25, 2002
ADVEST, INC.
December 11, 1981 - September 5, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 1981 - September 3, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
February 18, 1981 - September 3, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
February 18, 1981 - September 3, 1981
IDS LIFE INSURANCE COMPANY
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 8
Date: 4/8/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DUBLIN WEALTH MANAGEMENT, INC.
CRD#: 153475 / SEC#: 801-71267
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 15,601,299 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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