Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stockton is a financial professional with over 34 years of experience in the financial services industry. James currently works as a Registered Representative for Dempsey Lord Smith, LLC and has been with them since December 2022. Prior to Dempsey Lord Smith, LLC, James was a Registered Representative for BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. and Wilbanks Securities, Inc.. James holds the Series 6, Series 63 and Series 22TO licenses as well as the SIE exam. James is registered to provide investment advice in 14 states. James is a specialist in providing financial advice to individuals, retirement planning, and pension consulting.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
OK
12/22/2022 - Present
Dempsey Lord Smith, LLC (EDMOND OK)
OK
08/02/2017 - 12/21/2022
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (Edmond OK)
OK
01/08/2002 - 08/03/2017
WILBANKS SECURITIES, INC. (Edmond OK)
NJ
02/20/1988 - 02/12/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
02/20/1988 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 08/12/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/04/2020
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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