James A. Pepper
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 1996 - August 14, 1996
BERKSHIRE EQUITY SALES, INC.
July 10, 1996 - August 15, 2014
INTERCAROLINA FINANCIAL SERVICES, INC.
January 9, 1992 - June 14, 1996
WACHOVIA SECURITIES, 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
Current Firm
BERKSHIRE EQUITY SALES, INC.
CRD#: 87 / SEC#: , 8-13936
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BERKSHIRE LIFE INSURANCE COMPANY | BERKSHIRE LIFE IS A MUTUAL LIFE INSURANCE COMPANY OWNED BY ITS POLICYHOLDERS. | |
| CUSSON, CRAIG VINCENT | VICE PRESIDENT | 818642 |
| GLASS, HENRY WILLIAM JR | DIRECTOR/TREASURER | 1479968 |
| KALIB, DAVID LEONARD | VICE PRESIDENT, GENERAL COUNSEL, SECRETARY & CLERK | 263378 |
| OBERT, WILLIAM ALAN | ASSISTANT TREASUER | 3261932 |
| ROTENBERG, LAURA HARRIS | COMPLIANCE OFFICER | 2786157 |
| VOLKMAN, KARL FREDERICK | PRESIDENT/DIRECTOR | 1030925 |
| ZILINSKI, JAMES WILLIAM | DIRECTOR | 1472972 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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