James F. Beley
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 Franklin Beley SR, who also goes by James Franklin Beley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1963. James had worked at 7 firms and has passed the Series 1, Series 26 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1992 - December 31, 1998
KERWIN-BELEY & ASSOCIATES, INC.
March 3, 1987 - December 23, 1989
SHULMAN & CO., INC.
January 1, 1986 - December 31, 2018
KERWIN-BELEY & ASSOCIATES, INC.
May 19, 1981 - September 25, 1986
LPL FINANCIAL LLC
August 11, 1980 - June 11, 1981
HORNOR, TOWNSEND & KENT, LLC
May 3, 1976 - June 1, 1977
INVESTOGENIC SERVICES, INC.
January 30, 1976 - June 3, 1976
LPL FINANCIAL LLC
November 5, 1963 - May 18, 1974
E. F. HUTTON & COMPANY 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: 10/28/1963
Registered Representative ExaminationCurrent Firm
KERWIN-BELEY & ASSOCIATES, INC.
CRD#: 29351 / SEC#: , 8-44260
Contact information
Documents
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.
