James V. Auwerda
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 Vincent Auwerda was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 5, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2011 - April 16, 2012
WADDELL & REED
November 8, 2011 - April 16, 2012
WADDELL & REED
December 11, 2009 - April 8, 2011
CHASE INVESTMENT SERVICES CORP.
October 23, 2009 - April 8, 2011
CHASE INVESTMENT SERVICES CORP.
July 20, 2009 - September 3, 2009
THOMAS GROUP CAPITAL
February 1, 2005 - July 11, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 7, 2005 - July 11, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 2, 2001 - January 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.
November 2, 2001 - January 7, 2005
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 1990 - November 2, 2001
SANDERS MORRIS LLC
May 14, 1988 - January 15, 1990
LEHMAN BROTHERS INC.
February 1, 1979 - May 14, 1988
E. F. HUTTON & COMPANY INC
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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 12
Date: 2/19/1983
NYSE Branch Manager ExaminationCurrent Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
