Individual Firm
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JASON JOHN DUDUM
CRD#: 3105221
IA
B
KESTRA ADVISORY SERVICES, LLCCRD#: 283330 3505 Mt. Diablo Blvd
Lafayette, CA 94549
Lafayette, CA 94549
KESTRA INVESTMENT SERVICES, LLCCRD#: 42046 3505 Mt. Diablo Blvd.
Lafayette, CA 94549
Lafayette, CA 94549
0
Disclosures
26
Years of Experience
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State Registrations
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Arizona 11/8/2016
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Missouri 11/8/2016
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California 11/8/2016
B
Montana 11/8/2016
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California 11/9/2016
B
Nevada 11/8/2016
B
Colorado 6/6/2017
B
New Jersey 11/8/2016
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District of Columbia 11/8/2016
B
North Carolina 2/8/2023
B
Florida 11/8/2016
B
Ohio 9/3/2019
B
Georgia 11/8/2016
B
Oregon 11/8/2016
B
Hawaii 8/14/2024
B
Pennsylvania 11/8/2016
B
Idaho 12/26/2017
B
Tennessee 9/17/2021
B
Indiana 10/15/2020
B
Texas 11/8/2016
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Kansas 11/8/2016
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Texas 7/27/2023
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Massachusetts 11/8/2016
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Washington 11/8/2016
SRO Registrations
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Registered with this firm since 11/9/2016
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Registered with this firm since 11/8/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 11/21/2016 | LAFAYETTE, CA | |
B | 05/13/2016 - 11/21/2016 | LAFAYETTE, CA | |
IA | 09/04/2009 - 05/13/2016 | LAFAYETTE, CA | |
B | 09/04/2009 - 05/13/2016 | LAFAYETTE, CA | |
IA | 06/20/2007 - 09/04/2009 | LAFAYETTE, CA | |
B | 05/20/2004 - 09/04/2009 | LAFAYETTE, CA | |
B | 05/09/2003 - 05/19/2004 | WOODLAND HILLS, CA | |
B | 07/02/2002 - 05/01/2003 | DES MOINES, IA | |
B | 05/03/1999 - 06/26/2002 | NEW YORK, NY | |
B | 08/20/1998 - 05/03/1999 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.