James M. Bernard
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 Michael Bernard was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2016 - June 3, 2019
INVERNESS SECURITIES, LLC
April 7, 2014 - June 26, 2017
AMERICA NORTHCOAST SECURITIES, INC.
April 9, 2013 - December 31, 2015
SAFEGUARD SECURITIES, INC.
August 4, 2011 - January 8, 2025
ANCORA ADVISORS LLC
May 19, 2006 - April 9, 2013
AMERICA NORTHCOAST SECURITIES, INC.
December 15, 2001 - May 26, 2005
FIFTH THIRD SECURITIES, INC.
February 19, 1999 - December 15, 2001
FIFTH THIRD/MAXUS SECURITIES INC
January 1, 1994 - January 13, 1995
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVERNESS SECURITIES, LLC
CRD#: 129914 / SEC#: , 8-66278
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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