Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dovico is a financial professional with over 20 years of experience in the industry. James currently holds a Series 66 and Series 63 license and is registered with the state of Connecticut, Florida, New Jersey, New York, Ohio, Pennsylvania and Texas. James has also passed the Series 9, Series 10, Series 24, Series 6TO, Series 57TO, SIE, Series 55 and Series 7 exams. James is currently employed by Wallachbeth Capital LLC in Boca Raton, FL. James was previously employed by RICE FINANCIAL PRODUCTS COMPANY, LAMPERT CAPITAL MARKETS INC., SEVEN POINTS CAPITAL, LLC, RAYMOND C. FORBES & CO., INC., DIVINE CAPITAL MARKETS LLC and BUCKMAN, BUCKMAN & REID, INC.
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.
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.
1
2
FL
08/26/2020 - Present
Wallachbeth Capital LLC (Boca Raton FL)
NY
04/22/2019 - 09/17/2020
RICE FINANCIAL PRODUCTS COMPANY (NEW YORK NY)
NY
05/08/2014 - 04/18/2019
LAMPERT CAPITAL MARKETS INC. (NEW YORK NY)
NY
07/16/2010 - 04/14/2014
SEVEN POINTS CAPITAL, LLC (NEW YORK NY)
NY
05/05/2010 - 07/06/2010
RAYMOND C. FORBES & CO., INC. (NEW YORK NY)
NY
09/01/2004 - 05/06/2010
DIVINE CAPITAL MARKETS LLC (NEW YORK NY)
NJ
03/16/2000 - 09/22/2004
BUCKMAN, BUCKMAN & REID, INC. (LITTLE SILVER NJ)
BOTH
Issued 08/11/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/28/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/27/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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