JB
James A. Berman
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CRD#: 1320800
JB
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 Aaron Berman, who also goes by Jim Berman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Berman
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.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 30, 1997 - June 1, 2016
COLLIERS SECURITIES LLC
BD
CRD#: 7477
MINNEAPOLIS, MN
Past
April 10, 1996 - September 30, 1997
DOUGHERTY DAWKINS LLC
BD
CRD#: 7442
MINNEAPOLIS, MN
Past
October 7, 1992 - March 14, 1996
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
July 28, 1986 - October 5, 1988
MIDCONTINENT CAPITAL CORPORATION
BD
CRD#: 14322
Past
November 13, 1984 - July 28, 1986
MORISON SECURITIES, INC.
BD
CRD#: 8097
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
COLLIERS SECURITIES LLC
COLLIERS SECURITIES LLC | SUMMIT INVESTMENT CORPORATION | NODAKBONDS | DOUGHERTY VALUE ADVISORS | DOUGHERTY SUMMIT SECURITIES LLC | DOUGHERTY & COMPANY LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
RIA
Registered Investment Advisory firm - SEC (9/25/2014 Approved)Arizona
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)California
Registered Investment Advisory firm - SEC (10/20/2014 Terminated)Florida
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Iowa
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)Minnesota
Registered Investment Advisory firm - SEC (10/13/2014 Terminated)North Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)South Dakota
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (10/3/2014 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (10/6/2014 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Mailing Address
90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108
Phone number
(612) 376-4000
Established
Delaware since 08/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
120
SEC notice filing (15 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JOHNSON, MARK KENNETH | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | 1433801 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory assets under management
| Total Number of Accounts | 1,016 |
| AUM (Assets Under Management) | $ 280,660,825 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
