James G. Biever
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 Gardner Biever was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 7 firms and has passed the Series 63, Series 22, Series 7, Series 39 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1995 - July 2, 1997
G - W BROKERAGE GROUP, INC.
April 10, 1995 - November 8, 1995
GRAMERCY SECURITIES, INC.
July 29, 1987 - October 17, 1988
NRS SECURITIES, INC.
January 8, 1985 - September 27, 1985
JACQUES-MILLER INVESTMENT COMPANY
September 4, 1984 - October 23, 1984
HOYT SECURITIES
June 24, 1977 - October 28, 1979
JOHNSTON, LEMON & CO. INCORPORATED
February 19, 1976 - May 10, 1978
OMNI-SECURITIES, INC.
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
Series 40
Date: 2/9/1976
Registered Principal ExaminationCurrent Firm
G - W BROKERAGE GROUP, INC.
CRD#: 22691 / SEC#: , 8-39922
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| G-W FINANCIAL GROUP, INC. | SHAREHOLDER | |
| WOOTERS, EDWARD JOSEPH | PRESIDENT/CCO | 1405652 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Bond | 1 |
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.
