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JL

James D. Loeffelbein

Some features on this profile are disabled
CRD#: 1830024
JL

Professional summary

James Dean Loeffelbein was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, James had worked at 4 firms, which includes FINANCIAL WORLD CORPORATION, BMA FINANCIAL SERVICES INC., WADDELL & REED, THE STUART-JAMES COMPANY INCORPORATED.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jim Loeffelbein

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)

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®
None

Experience

Past

September 8, 1998 - August 20, 2001

FINANCIAL WORLD CORPORATION

BD
CRD#: 41377
OVERLAND PARK, KS
Past

January 29, 1990 - September 3, 1998

BMA FINANCIAL SERVICES, INC.

BD
CRD#: 7943
KANSAS CITY, MO
Past

July 29, 1988 - February 7, 1990

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

July 8, 1988 - August 12, 1988

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691

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
IAR
Series 65
Date: 8/23/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/22/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 7/7/1988
Corporate Securities Limited Representative Examination

Current Firm

FW
FINANCIAL WORLD CORPORATION
FINANCIAL WORLD | FINANCIAL WORLD CORPORATION

CRD#: 41377 / SEC#: , 8-49397

BD
Cancelled by SEC on 07/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Kansas since 05/18/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BERVERT, BRADLEY ALLANCHIEF EXECTIVE OFFICER AND CHIEF COMPLIANCE OFFICER2563245
HANSON, SHERRY CONSTANCECOMMON SHAREHOLDER
THE HEDGE FUND, LLCCOMMON SHAREHOLDER
BAHM, DARIN KEITHCOMMON SHAREHOLDER2850903
BELL, WILLIAM KENNETH JRREGISTERED REPRESENTATIVE
BLUNT, MICHAEL EUGENEBRANCH MANAGER2778238
ORENSTEIN, HEYWOOD SETHPRESIDENT2755281

Disclosures

Regulatory Event1

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.

Company Information

FINANCIAL WORLD CORPORATION

CRD#: 41377

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