Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Cockerill is a financial advisor with Nuveen Securities, LLC. James has over 9 years of experience in the financial services industry. James is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Representative and a Registered Representative. James is also registered with the Securities Investor Protection Corporation (SIPC).
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.
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NJ
09/29/2021 - Present
Nuveen Securities, LLC (Mullica HIll NJ)
NJ
11/04/2013 - 09/21/2021
LORD ABBETT DISTRIBUTOR LLC (JERSEY CITY NJ)
PA
09/27/2012 - 09/18/2013
VANGUARD MARKETING CORPORATION (MALVERN PA)
BOTH
Issued 01/13/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/09/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2012
Series 7 - General Securities Representative Examination
Active
Inactive
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FINRA
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