James L. Bernieri

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CRD#: 19956

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 Louis Bernieri, who also goes by Jaime Fillol, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1956. James had worked at 14 firms and has passed the Series 63, Series 000 and Series 00 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jaime Fillol

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

March 4, 2010 - April 9, 2012

DOLEY SECURITIES, LLC.

CRD#: 7081

NEW YORK, NY

Past

April 12, 2005 - February 11, 2010

MAGNA

CRD#: 30935

NEW YORK, NY

Past

May 8, 2002 - March 30, 2005

REDWOOD SECURITIES GROUP, INC.

CRD#: 27536

SAN FRANCISCO, CA

Past

August 8, 2001 - January 11, 2002

BURLINGTON CAPITAL MARKETS INC.

CRD#: 26991

NEW YORK, NY

Past

April 28, 1993 - May 11, 2000

SCHRODER & CO. INC.

CRD#: 6112

NEW YORK, NY

Past

May 8, 1992 - May 13, 1993

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

November 27, 1990 - April 8, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

June 22, 1987 - June 18, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

Past

November 19, 1984 - May 13, 1987

WESTPAC POLLOCK & CO. INC.

CRD#: 901

Past

March 14, 1977 - September 16, 1977

BACHE HALSEY STUART INC.

CRD#: 7238

Past

November 5, 1974 - March 14, 1977

SBC WARBURG DILLON READ INC.

CRD#: 1650

Past

September 27, 1971 - September 9, 1974

ABRAHAM & CO., INC.

CRD#: 1010

Past

November 9, 1966 - October 23, 1971

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

April 2, 1956 - November 29, 1984

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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

Series 63

Date: 12/6/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 000

Date: 4/2/1956

General Securities Principal Examination

Principal/Supervisory Exam

Series 00

Date: 5/3/1973

General Securities Principal Examination

Current Firm

DOLEY SECURITIES, LLC.

DOLEY GOVAN SECURITIES, INC. | DOLEY SECURITIES, LLC. | DOLEY SECURITIES, INC.

CRD#: 7081 / SEC#: , 8-34305

Cancelled by SEC on 07/25/2012

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/01/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DOLEY FOUNDATION	FOUNDATION
DOLEY, HAROLD EMANUEL JR	CHAIRMAN EMERITUS/CCO	69596
DOLEY, HELENA JANICE	CORPORATE SECRETARY	2814541
GERDES, (JR) LOUIS ADAM	DIRECTOR	1509275
ROBERT, CECELIA HAYDEL	DIRECTOR	1509272

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

James L. Bernieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MAGNA

REDWOOD SECURITIES GROUP, INC.

BURLINGTON CAPITAL MARKETS INC.

SCHRODER & CO. INC.

JOSEPHTHAL & CO., INC.

GRUNTAL & CO., L.L.C.

PRESCOTT, BALL & TURBEN, INC.

WESTPAC POLLOCK & CO. INC.

BACHE HALSEY STUART INC.

SBC WARBURG DILLON READ INC.

ABRAHAM & CO., INC.

L. F. ROTHSCHILD & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1991

Series 000

Date: 4/2/1956

Series 00

Date: 5/3/1973

Current Firm

DOLEY SECURITIES, LLC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DOLEY SECURITIES, LLC.

TRUST BUT VERIFY

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