Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dockens is a financial advisor at U.S. Bancorp Investments, Inc. James has over 20 years of experience in the financial services industry. James is registered with the state of Washington and is also licensed to provide financial advice in several other states. James holds the Series 3, 7, 24 and 66 licenses. James specializes in providing financial planning and investment management services for individuals and families. James is committed to providing clients with personalized financial advice and helping them achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
WA
09/18/2017 - Present
U.s. Bancorp Investments, Inc. (Bonney Lake WA)
WA
10/27/2011 - 11/30/2015
E*TRADE SECURITIES LLC (SEATTLE WA)
WA
01/07/2010 - 10/21/2011
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (MUKILTEO WA)
WA
08/05/2008 - 01/08/2010
E*TRADE SECURITIES LLC (SEATTLE WA)
WA
10/31/2005 - 03/21/2007
AIG FINANCIAL ADVISORS, INC. (EVERETT WA)
AZ
05/17/2002 - 10/31/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
NY
03/02/1998 - 05/30/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
10/24/1997 - 03/02/1998
DAIN RAUSCHER INCORPORATED
BOTH
Issued 11/12/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2010
Series 3 - National Commodity Futures Examination
BC
Issued 10/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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