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JAMES FRANKLIN BERNARD
JAMES F BERNARD
CRD#: 2550802
IA
Investment Adviser
B
Broker Regulated by FINRA
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1095 AVENUE OF THE AMERICAS
3RD & 4TH FLOORS
NEW YORK, NY 10036
+1
Registration History
1995200020052010201520202025IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2021 - Present (3 years)BSTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2007 - Present (17 years)BRYAN BECK & CO. (CRD# 3248)2002 - 2007 (5 years)BGRUNTAL & CO., L.L.C. (CRD# 372)2001 - 2002 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1994 - 2001 (6 years)
Disclosure(s)
View By:
5/16/2022
Customer Dispute
Denied
3/20/2017
Financial
Final
5/4/2009
Customer Dispute
Denied
6/27/2002
Customer Dispute
Award / Judgment
6/28/2001
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona

B
Massachusetts

B
California

B
Nevada

B
Colorado

B
New Jersey

B
Connecticut

B
New York

B
Florida

IA
New York

B
Georgia

B
North Carolina

B
Hawaii

B
Pennsylvania

B
Illinois

B
South Carolina

B
Indiana

B
Texas

B
Kansas

B
Vermont

B
Maine

B
Virginia

B
Maryland

B
Washington

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1095 AVENUE OF THE AMERICAS 3RD & 4TH FLOORS, NEW YORK, NY 10036
Registered with this firm since 8/21/2007

IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
1095 AVENUE OF THE AMERICAS 3RD & 4TH FLOORS, NEW YORK, NY 10036
Registered with this firm since 5/26/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/29/2002 - 08/21/2007 RYAN BECK & CO. (CRD#:3248) NEW YORK, NY
B
08/07/2001 - 05/08/2002 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
B
11/30/1994 - 07/27/2001 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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