Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moody is a financial advisor with Symetra Securities, Inc. James has been in the financial industry since 1999. James's current office location is in BELLEVUE, WA. James is registered with FINRA. James holds licenses for Series 6, 7, 26, 63 and SIE. James previously worked for Delaware Distributors, L.P., Foresters Financial Services, Inc., Destra Capital Investments LLC, CW Securities, LLC, NYLIFE Securities LLC, Transamerica Capital, Inc., SII Investments, Inc., USAllianz Investor Services, LLC, American General Securities Incorporated and Bisys Brokerage Services, Inc.
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.
1
2
WA
11/11/2021 - Present
Symetra Securities, Inc. (BELLEVUE WA)
PA
04/03/2020 - 12/31/2020
DELAWARE DISTRIBUTORS, L.P. (PHILADELPHIA PA)
NJ
03/07/2014 - 10/31/2019
FORESTERS FINANCIAL SERVICES, INC. (EDISON NJ)
MT
03/20/2012 - 12/02/2013
DESTRA CAPITAL INVESTMENTS LLC (BOZEMAN MT)
TN
12/08/2009 - 08/30/2011
CW SECURITIES, LLC (KNOXVILLE TN)
AL
08/26/2008 - 06/19/2009
NYLIFE SECURITIES LLC (BIRMINGHAM AL)
CO
04/17/2007 - 11/28/2007
TRANSAMERICA CAPITAL, INC. (DENVER CO)
MS
05/17/2006 - 04/03/2007
SII INVESTMENTS, INC. (PICAYUNE MS)
MN
05/09/2001 - 03/24/2006
USALLIANZ INVESTOR SERVICES, LLC (MINNEAPOLIS MN)
AZ
07/06/2000 - 05/16/2001
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
MN
08/14/1998 - 07/21/1999
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
NY
09/12/1994 - 08/11/1998
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 08/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/2012
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Moody is the right advisor for you? Invested Better is here to help.
