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Detailed Report
JAMES ALAN HERSHBERGER
CRD#: 6427632
IA
Investment Adviser
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Previous Broker
ROUND TABLE INVESTMENT STRATEGIES, LLCCRD#: 139492 Lincoln, NE
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2015 (<1 year)IAROUND TABLE INVESTMENT STRATEG... (CRD# 139492)2015 - Present (9 years)
License(s)

State Registrations

IA
Nebraska 11/13/2015
Current Registration(s)
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ROUND TABLE INVESTMENT STRATEGIES, LLC (CRD#:139492)
Lincoln, NE
Registered with this firm since 11/13/2015
Previous Registration(s)
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 03/23/2015 - 08/19/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) LINCOLN, NE
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 02/17/2015 - 08/19/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) LINCOLN, NE
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.
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.