Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rhys Bernthal is a financial advisor registered with Aegis Capital Corp. James has been in the industry since December 2004. James is registered with the following securities authorities: FINRA, the state of Arizona, California, Colorado, Connecticut, Florida, Georgia, Illinois, Kansas, Louisiana, Maryland, Minnesota, Nebraska, Nevada, New York, North Carolina, North Dakota, Ohio, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming. James specializes in portfolio management for businesses, individuals, and pooled investment vehicles.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
NY
04/22/2020 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
04/21/2016 - 05/19/2020
DAWSON JAMES SECURITIES, INC. (NEW YORK NY)
NY
12/07/2012 - 04/21/2016
NETWORK 1 FINANCIAL SECURITIES INC. (Lynbrook NY)
NY
07/12/2010 - 12/10/2012
OBSIDIAN FINANCIAL GROUP, LLC (FREEPORT NY)
NY
02/08/2010 - 07/21/2010
QA3 FINANCIAL CORP. (FARMINGDALE NY)
NY
09/12/2008 - 02/12/2010
A&F FINANCIAL SECURITIES, INC. (FARMINGDALE NY)
NY
03/22/2005 - 10/09/2008
FIRST MIDWEST SECURITIES, INC. (WESTBURY NY)
FL
12/06/2004 - 04/19/2005
GUNNALLEN FINANCIAL, INC (TAMPA FL)
BC
Issued 12/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2004
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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