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JAMES HENRY BUDDE
CRD#: 702707
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 650 J STREET SUITE 405
LINCOLN, NE 68508
LINCOLN, NE 68508
CETERA ADVISORS LLCCRD#: 10299 650 J STREET SUITE 405
LINCOLN, NE 68508
LINCOLN, NE 68508
0
Disclosures
45
Years of Experience
View By:
State Registrations
B
Arizona 9/8/2022
B
New Mexico 9/8/2022
B
California 9/8/2022
B
North Carolina 11/26/2024
B
Colorado 9/8/2022
B
Ohio 9/8/2022
B
District of Columbia 9/8/2022
B
Oregon 9/8/2022
B
Illinois 9/8/2022
B
Pennsylvania 9/8/2022
B
Iowa 9/8/2022
B
South Dakota 9/8/2022
B
Kansas 9/8/2022
B
Texas 9/8/2022
B
Missouri 9/8/2022
IA
Texas 11/1/2022
IA
Nebraska 11/12/2020
B
Virginia 9/8/2022
B
Nebraska 9/8/2022
B
Washington 9/8/2022
B
Nevada 9/8/2022
B
Wyoming 9/8/2022
B
New Jersey 9/8/2022
SRO Registrations
B
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IA
Registered with this firm since 11/12/2020
B
Registered with this firm since 9/8/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/26/2019 - 09/08/2022 | LINCOLN, NE | |
IA | 09/27/2019 - 11/12/2020 | LINCOLN, NE | |
IA | 01/03/2007 - 09/26/2019 | LINCOLN, NE | |
B | 05/30/2008 - 09/26/2019 | LINCOLN, NE | |
B | 06/21/1991 - 05/30/2008 | LINCOLN, NE | |
IA | 10/30/1997 - 01/03/2007 | LINCOLN, NE | |
B | 03/13/1986 - 06/10/1991 | WATERLOO, IA | |
B | 07/31/1984 - 03/12/1986 | ||
B | 12/26/1979 - 07/27/1984 |
LINCOLN, NE
10/30/1997 - 01/03/2007
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B
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.