James E. Kohlhepp

CFD INVESTMENTS

SAUCIER, MS

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CRD#: 1298906

Professional summary

James Ernest Kohlhepp, who also goes by Jim Kohlhepp, is a registered financial professional currently at CFD INVESTMENTS, INC. located in Saucier, Mississippi.

James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Kohlhepp

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Ernest Kohlhepp's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2025 - Present

CFD INVESTMENTS, INC.

CRD#: 25427

SAUCIER, MS

Past

October 2, 1989 - December 31, 2024

CADARET, GRANT & CO., INC.

CRD#: 10641

Saucier, MS

Past

February 29, 1988 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

February 28, 1988 - October 2, 1989

CADARET, GRANT & CO., INC.

CRD#: 16404

Past

April 11, 1985 - March 4, 1988

TUCKER ANTHONY INCORPORATED

CRD#: 837

Past

October 25, 1984 - March 21, 1985

MORGAN STANLEY DW INC.

CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/2/2025)

Colorado
(1/2/2025)

Florida
(1/2/2025)

Georgia
(1/2/2025)

Idaho
(1/2/2025)

Maryland
(1/2/2025)

Michigan
(1/2/2025)

Mississippi
(1/2/2025)

New Jersey
(1/2/2025)

New York
(1/2/2025)

North Carolina
(1/2/2025)

Ohio
(1/2/2025)

Tennessee
(1/2/2025)

Texas
(1/2/2025)

Virginia
(1/2/2025)

Exams

State Security Law Exam

Series 63

Date: 9/21/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/20/2001

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

CFD INVESTMENTS, INC.

CFD INVESTMENTS, INC. | CFD SECURITIES, INC.

CRD#: 25427 / SEC#: , 8-41727

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

2704 S Goyer Rd, Kokomo, IN 46902

Mailing Address

P.o. Box 2244, Kokomo, IN 46904-2244

Phone number

(765) 453-9600

Established

Indiana since 12/10/1986

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
BRAUN, BRIGIT R	OWNER	6585909
OWENS, BRENT ANTHONY	PRESIDENT/DIRECTOR	2261719
ROCKEY, BROOKE LEIGH	OWNER	4817176
THE OWENS FAMILY TRUST DATED 8/1/2017	OWNER
BAHRENBURG, MATTHEW O	CHIEF COMPLIANCE OFFICER	5295661
HALE, DANIEL KRIS	OWNER, VICE PRESIDENT, DIRECTOR	2649813
OWENS, MICKEY LEE	DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017	1437001
ROCKEY, CHRISTOPHER M	OWNER	5504531
ROOZE, KREGG JERROD	DIRECTOR, SECRETARY, TREASURER	3174063

Disclosures

Regulatory Event	8
Bond	1

Red Flags

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Firm Stability Insights

James E. Kohlhepp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Ernest Kohlhepp's CRS (Customer Relationship Summary).

Certified licenses

Experience

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

TUCKER ANTHONY INCORPORATED

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/21/1984

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

Series 26

Date: 2/20/2001

FINRA

Current Firm

CFD INVESTMENTS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CFD INVESTMENTS, INC.

TRUST BUT VERIFY

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