James A. Hershberger

ROUND TABLE INVESTMENT STRATEGIES

Lincoln, NE 68512

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CRD#: 6427632

Professional summary

James Alan Hershberger is a registered financial advisor currently at ROUND TABLE INVESTMENT STRATEGIES, LLC located in Lincoln, Nebraska.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. James has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

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.

MJH CPA LLC/PRIVATE RESIDENCE/ACCOUNTING FIRM/OWNER/START DATE 09/01/2015/NON-INVESTMENT RELATED/140 BUSINESS HOURS/MONTH, 140 DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Hershberger'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®

None

Experience

Current

November 13, 2015 - Present

ROUND TABLE INVESTMENT STRATEGIES, LLC

Office #1: 2935 Pine Lake Rd. Ste F, Lincoln, NE 68512

RIA

CRD#: 139492

Lincoln, NE

Past

March 23, 2015 - August 19, 2015

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LINCOLN, NE

Past

February 17, 2015 - August 19, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LINCOLN, NE

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

Nebraska
(11/13/2015)

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

State Security Law Exam

IAR

Series 66

Date: 3/23/2015

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/17/2015

General Securities Representative Examination

Current Firm

ROUND TABLE INVESTMENT STRATEGIES, LLC

AHLSCHWEDE JAMES PHILIP | ROUND TABLE INVESTMENT STRATEGIES, LLC | ROUND TABLE INVESTMENT STRATEGIES

CRD#: 139492 / SEC#:

California

Registered Investment Advisory firm - (4/23/2025 Approved)

Colorado

Registered Investment Advisory firm - (11/22/2010 Approved)

Nebraska

Registered Investment Advisory firm - (3/14/2006 Approved)

Texas

Registered Investment Advisory firm - (4/25/2015 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (2/10/2012 Approved)

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Contact information

Main Address

Centennial, CO

Mailing Address

P.o. Box 4272, Greenwood Village, CO 80155

Phone number

(402) 540-4060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	334
AUM (Assets Under Management)	$ 77,013,280

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.

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James A. Hershberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Alan Hershberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROUND TABLE INVESTMENT STRATEGIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2015

SIE

Date: 8/19/2015

Series 7

Date: 2/17/2015

Current Firm

ROUND TABLE INVESTMENT STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROUND TABLE INVESTMENT STRATEGIES, LLC

TRUST BUT VERIFY

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