James P. Scherr
Professional summary
James Perry Scherr was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, James had worked at 11 firms, which includes LH ROSS & COMPANY INC., SUNCOAST CAPITAL GROUP LTD., SOUTHEAST REGIONAL SECURITIES INC., MARCUS STOWELL & BEYE GOVERNMENT SECURITIES INC., MARCUS STOWELL & BEYE INC., PRUDENTIAL EQUITY GROUP LLC, AVM L.P., DAVID LERNER ASSOCIATES INC., THOMSON MCKINNON SECURITIES INC., TMA GOVERNMENT SECURITIES LTD., FAIC SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 1997 - March 4, 1997
LH ROSS & COMPANY, INC.
February 16, 1994 - February 28, 1995
SUNCOAST CAPITAL GROUP, LTD.
October 13, 1993 - January 11, 1994
SOUTHEAST REGIONAL SECURITIES, INC.
March 16, 1993 - February 1, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
March 15, 1993 - October 26, 1993
MARCUS, STOWELL & BEYE, INC.
May 24, 1991 - March 16, 1993
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - May 31, 1991
AVM, L.P.
February 23, 1990 - September 14, 1990
DAVID LERNER ASSOCIATES, INC.
July 2, 1987 - June 13, 1988
THOMSON MCKINNON SECURITIES INC.
October 3, 1985 - June 10, 1987
TMA GOVERNMENT SECURITIES, LTD.
May 20, 1983 - December 5, 1989
FAIC SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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