James F. Becherer
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 Frank Becherer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 5 firms and has passed the Series 63, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1995 - November 21, 1996
CARDINAL INVESTMENTS, INC.
April 8, 1994 - February 14, 1995
OAKBRIDGE FINANCIAL SERVICES
January 4, 1990 - March 19, 1991
FIRST GATEWAY SECURITIES INC.
December 29, 1971 - March 26, 1992
JIM BECHERER & CO.
March 23, 1970 - October 12, 1973
WEBER, MITCHELL & OLSON, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/25/1959
Registered Representative ExaminationSeries 00
Date: 2/28/1970
General Securities Principal ExaminationCurrent Firm
CARDINAL INVESTMENTS, INC.
CRD#: 36838 / SEC#: , 8-47493
Contact information
FINRA licenses (12 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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