Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Augustus is a financial professional with over 10 years of experience in the industry. He has held previous roles with GWFS Equities, Inc., Amundi Pioneer Distributor, Inc. and LPL Financial Corporation. James Augustus is currently registered with Prudential Annuities Distributors, Inc. in Connecticut.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CT
09/21/2022 - Present
Prudential Annuities Distributors, Inc. (SHELTON CT)
MA
09/14/2020 - 09/15/2022
CLARENDON INSURANCE AGENCY, INC. (WALTHAM MA)
MA
10/08/2019 - 08/04/2020
GWFS EQUITIES, INC. (ANDOVER MA)
MA
07/08/2010 - 08/03/2017
AMUNDI PIONEER DISTRIBUTOR, INC. (BOSTON MA)
MA
03/09/2009 - 05/17/2010
WOODBURY FINANCIAL SERVICES, INC. (ANDOVER MA)
MA
02/18/2008 - 08/12/2008
LPL FINANCIAL CORPORATION (ANDOVER MA)
BC
Issued 10/22/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 04/29/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/08/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/03/2017
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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