James Beaudoin Involved in Allegations of Risky Investments
James Beaudoin (CRD #: 2992651), a broker registered with Berthel, Fisher & Company is involved in allegations of unsuitable recommendations, according to his BrokerCheck record, accessed on August 18, 2021.
On June 21, 2021, investors alleged that James Beaudoin recommended unsuitable investments. They further alleged that James Beaudoin misrepresented certain investments.
There is also a lien disclosure on James Beaudoin’s record. On November 21, 2019, James Beaudoin became the subject of a tax lien for $16,303.03.
James Beaudoin Background Information
James Beaudoin has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
Beaudoin is a registered broker in Florida, Texas, and Wisconsin. He is also a registered investment adviser in Wisconsin.
James Beaudoin has worked with the following firms:
- Berthel, Fisher & Company Financial Services (CRD #: 13609)
- Brewer Investment Advisors (CRD #: 134631)
- Brewer Financial Services (CRD #: 132558)
- LPL Financial Corporation (CRD #: 6413)
- Robert W. Baird & Co. (CRD #: 8158)
- UBS Global Asset Management (CRD #: 583)
- Strong Investments (CRD #: 15658)
Kurta Law Can Help
If you worked with James Beaudoin and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email firstname.lastname@example.org.