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JP

James A. Pepper

Some features on this profile are disabled
CRD#: 2195896
JP

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 Arthur Pepper III was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1992. James had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

July 25, 1996 - August 14, 1996

BERKSHIRE EQUITY SALES, INC.

BD
CRD#: 87
PITTSFIELD, MA
Past

July 10, 1996 - August 15, 2014

INTERCAROLINA FINANCIAL SERVICES, INC.

BD
CRD#: 19475
WINSTON-SALEM, NC
Past

January 9, 1992 - June 14, 1996

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC

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: 1/14/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/1991
General Securities Representative Examination

Current Firm

BE
BERKSHIRE EQUITY SALES, INC.
BERKSHIRE EQUITY SALES, INC.

CRD#: 87 / SEC#: , 8-13936

BD
Terminated by SEC on 02/17/2003
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 05/10/1968
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BERKSHIRE LIFE INSURANCE COMPANYBERKSHIRE LIFE IS A MUTUAL LIFE INSURANCE COMPANY OWNED BY ITS POLICYHOLDERS.
CUSSON, CRAIG VINCENTVICE PRESIDENT818642
GLASS, HENRY WILLIAM JRDIRECTOR/TREASURER1479968
KALIB, DAVID LEONARDVICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CLERK263378
OBERT, WILLIAM ALANASSISTANT TREASUER3261932
ROTENBERG, LAURA HARRISCOMPLIANCE OFFICER2786157
VOLKMAN, KARL FREDERICKPRESIDENT/DIRECTOR1030925
ZILINSKI, JAMES WILLIAMDIRECTOR1472972

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

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

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