James Bernard L'esperance
ChFC®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BARKING SANDS CAPITAL | THE L 'ESPERANCE GROUP, LLC
Contact Information
Main Address
101 W. Big Beaver Rd. Suite 1400, Troy, MI 48084Mailing Address
601 Carlson Pkwy Suite 1050, Minnetonka, MN 55305Phone Number
(248) 687-1040# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
385AUM (Assets Under Management)
$45,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(4/21/2011)
(1/13/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 2000About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Bernard L'esperance's CRS (Customer Relationship Summary).
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