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JN

James E. Nordberg

Some features on this profile are disabled
CRD#: 873099
JN

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 Erling Nordberg was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1979. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. Nordberg Investment Management, Inc., Yes, 6549 Wakefalls Drive, Wake Forest, NC 27587, Owner/Agent, 01/01/1979, 1, 0, Fixed/Traditional Insurance. 2. NORDBERG INVESTMENT MANAGEMENT INC POSITION: Owner - NATURE: S Corp INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2001 ADDRESS: 6549 Wakefalls Dr., Wake Forest NC 27587, United States DESCRIPTION: Prepare taxes for clients 3. NORDBERG INVESTMENT MANAGEMENT INC. POSITION: Owner - NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2001 ADDRESS: 6549 Wakefalls Dr., Wake Forest NC 27587, United States DESCRIPTION: Providing investment management using Third Party Managers through the corporate RIA 4. ALGER COUNTY EMS POSITION: EMS Driver NATURE: County Government INVESTMENT RELATED: No NUMBER OF HOURS: 144 SECURITIES TRADING HOURS: 72 START DATE: 01/01/2020 ADDRESS: 101 Court St, Munising MI 49862, United States DESCRIPTION: Drive the EMS Ambulance, assist Paramedics and EMTs in providing aid to people needing medical care. 5. JAMES NORDBERG POSITION: Manage he rental property NATURE: Sole proprietor INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2019 ADDRESS: 2179 Coast Gaurd Pt. Rd, Grand Marais MI 49839, United States DESCRIPTION: collect rent, cut grass, garden

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 26, 2010 - November 22, 2013

NORDBERG INVESTMENT MANAGEMENT INC.

RIA
CRD#: 117643
ANN ARBOR, MI
Past

June 3, 2008 - December 31, 2023

OSAIC WEALTH, INC.

RIA
CRD#: 23131
WAKE FOREST, NC
Past

October 18, 1990 - December 31, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
WAKE FOREST, NC
Past

March 15, 1985 - October 29, 1990

FSC SECURITIES CORPORATION

BD
CRD#: 7461
ATLANTA, GA
Past

August 12, 1982 - April 18, 1985

U.S. MUTUAL SECURITIES CORP.

BD
CRD#: 7046
Past

October 26, 1979 - August 10, 1982

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

October 26, 1979 - August 10, 1982

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

October 26, 1979 - August 10, 1982

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/10/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/24/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 10/18/1979
Registered Representative Examination

Current Firm

NI
NORDBERG INVESTMENT MANAGEMENT INC.
NORDBERG INVESTMENT MANAGEMENT INC.

CRD#: 117643 / SEC#:

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Contact information

Main Address
Ann Arbor, MI
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

NORDBERG INVESTMENT MANAGEMENT INC.

CRD#: 117643

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Contact information

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