James Harold Hern

Current Employers

Employment History

• 03/2015 → 11/2018
  Sii
  Southfield, MI
• 11/2018 → Present
  Osaic Wealth, Inc.
  Southfield, MI

Previous Registrations

• 2015-03-31 → 2018-11-02
  Signator Investors, Inc.
  Southfield, MI
• 2010-10-25 → 2015-04-01
  Msi Financial Services, Inc.
  Southfield, MI

Other Businesses

1. MICHIGAN FINANCIAL COMPANIES, INC. - FIXED INSURANCE POSITION: Vice President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 60 START DATE: 03/20/2015 ADDRESS: 28411 Northwestern Hwy., Suite 1300, Southfield MI 48034, United States DESCRIPTION: SALES/MARKETING OF FIXED ANNUITIES AND NON-VARIABLE INSURANCE 2. MICHIGAN FINANCIAL COMPANIES, INC. - SECURITIES POSITION: Vice President NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/20/2015 ADDRESS: 28411 Northwestern Hwy., Suite 1300, Southfield MI 48034, United States DESCRIPTION: Sales/marketing of securities, investment advisory and insurance products 3. MICHIGAN FINANCIAL COMPANIES, INC. - SHAREHOLDER POSITION: Owner NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/05/2019 ADDRESS: 28411 Northwestern Highway,, Suite 1300, Southfield MI 48034, United States DESCRIPTION: Minority shareholder of Michigan Financial Companies, Inc. Private Securities Transaction disclosed to the Firm to announce the purchase of shares of the business. 4. BEALS, CARUANA & MCVETY WEALTH STRATEGIES POSITION: Non-profit/Board member NATURE: This is an LLC taxed as a Professional Corporation.This entity has a State of Michigan corporate insurance license. Per the State, the corporate license needs to include a DLRP (Designated Licensed Resident Producer) in order to pay commissions to the entity. As the DLRP for Beals, Caruana & McVety Wealth Strategies, I am on the board of directors in a non-voting/non-compensation capacity. Commissions will be paid to a licensed agent and/or the LLC. This is for fixed products only (non-security). INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/23/2021 ADDRESS: 707 E. Maple Rd, Suite 100, Troy MI 48083, United States DESCRIPTION: Non-shareholder; non-voting; non-equity board member. Do not participate financially with this entity.

Exams

• S66 Uniform Combined State Law Examination
  2010-10-12
• S63 Uniform Securities Agent State Law Examination
  2006-08-02

Other Names

• James Harold Hern