Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Franklin Dixon is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the industry since 1995 and has experience with various financial products and services. James has held positions at Sterne, Agee & Leach, Inc., SAL Financial Services, Inc., and Sterne Agee Capital Markets, Inc. James has a wide range of experience and holds multiple licenses and registrations. James is registered to provide advisory services in various states across the United States.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
07/07/2015 - Present
Stifel, Nicolaus & Company, Inc. (BIRMINGHAM AL)
AL
02/09/1995 - 07/07/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
AL
04/06/2002 - 01/07/2004
SAL FINANCIAL SERVICES, INC. (BIRMINGHAM AL)
AL
11/30/2001 - 04/06/2002
STERNE AGEE CAPITAL MARKETS, INC. (BIRMINGHAM AL)
IA
Issued 12/01/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/22/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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