James W. Bernaiche
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James William Bernaiche was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 14 firms and has passed the Series 63, Series 7, Series 6, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 6, 2001 - October 1, 2013
LORD ABBETT DISTRIBUTOR LLC
May 1, 1997 - March 22, 2001
CREDIT SUISSE ASSET MANAGEMENT SECURITIES LLC
March 10, 1995 - January 15, 1996
UBS ASSET MANAGEMENT (US) INC.
July 14, 1994 - December 16, 1994
MENTOR SERVICES COMPANY, LLC
June 6, 1994 - December 16, 1994
JONES, BYRD, & ATTKISSON, INC.
July 1, 1993 - December 16, 1994
GOLDK INVESTMENT SERVICES, INC
June 16, 1993 - December 16, 1994
WILLAMETTE SECURITIES, INC.
June 30, 1992 - December 16, 1994
BD COMPLIANCE SOLUTIONS, LLC
May 4, 1992 - December 16, 1994
BANCWEST INVESTMENT SERVICES, INC.
May 29, 1990 - December 16, 1994
BISYS SHELF B/D (1), INC.
July 19, 1988 - December 21, 1994
FTFD FUND DISTRIBUTOR, INC.
November 4, 1987 - December 16, 1994
PROFUNDS DISTRIBUTORS, INC.
March 5, 1985 - September 15, 1987
MONY SECURITIES CORPORATION
November 8, 1983 - March 1, 1985
GUARDIAN INVESTOR SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LORD ABBETT DISTRIBUTOR LLC
CRD#: 530 / SEC#: , 8-216
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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