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JL

James B. L'esperance

BARKING SANDS CAPITAL
MINNETONKA, MN 55345
Some features on this profile are disabled
CRD#: 4150205
JL

Professional summary


James Bernard L'esperance, ChFC® is a registered financial advisor currently at BARKING SANDS CAPITAL located in Minnetonka, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 5 firms and has passed the Series 63 and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
Yes

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.
LICENSED INSURANCE AGENCY SELLING AND SERVICING FIXED INSURANCE PRODUCTS SUCH AS LIFE INSURANCE AND ANNUITIES.

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view James Bernard L'esperance's CRS (Customer Relationship Summary).

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
ChFC®

Experience


Current

April 21, 2011 - Present

BARKING SANDS CAPITAL

Office #1: 5125 County Rd. 101 Suite 105, Minnetonka, MN 55345
RIA
CRD#: 141907
MINNETONKA, MN
Past

February 13, 2003 - March 24, 2004

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH
Past

April 27, 2002 - December 20, 2002

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

November 15, 2001 - April 2, 2002

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

April 10, 2000 - September 26, 2001

HANTZ FINANCIAL SERVICES, INC.

BD
CRD#: 46047
SOUTHFIELD, MI

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Michigan
(4/21/2011)
IAR
Minnesota
(1/13/2015)

Exams


State Security Law Exam
RR
Series 63
Date: 7/22/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam

Current Firm


BS
BARKING SANDS CAPITAL
BARKING SANDS CAPITAL | THE L 'ESPERANCE GROUP, LLC

CRD#: 141907 / SEC#:

Michigan
Registered Investment Advisory firm - (3/15/2007 Approved)
Minnesota
Registered Investment Advisory firm - (5/4/2009 Approved)
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Contact information


Main Address
101 W. Big Beaver Rd. Suite 1400, Troy, MI 48084
Mailing Address
601 Carlson Pkwy Suite 1050, Minnetonka, MN 55305
Phone number
(248) 687-1040
Established
Firm type
Fiscal year end
# of Employees
2

Documents


Latest Form ADV

Regulatory assets under management


Total Number of Accounts165
AUM (Assets Under Management)$ 35,000,000

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


BARKING SANDS CAPITAL

CRD#: 141907Minnetonka, MN 55345

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