James E. Lerro
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 Edward Lerro JR, who also goes by James Edward Lerro, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2013 - July 25, 2014
SCARBOROUGH CAPITAL MANAGEMENT
December 19, 2008 - July 22, 2014
SII INVESTMENTS, INC.
April 4, 2003 - January 29, 2014
SCARBOROUGH CAPITAL MANAGEMENT, INC.
April 3, 2003 - December 23, 2008
OSAIC WEALTH, INC.
October 22, 2001 - July 31, 2002
GROVE POINT INVESTMENTS, LLC
June 20, 1997 - February 22, 2001
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
SCARBOROUGH CAPITAL MANAGEMENT
CRD#: 169517 / SEC#: 801-79006
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
SCARBOROUGH CAPITAL MANAGEMENT
CRD#: 169517 / SEC#: 801-79006
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,056 |
| AUM (Assets Under Management) | $ 1,399,926,152 |
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.
