Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nicklaus Dockins is an investment advisor representative with LPL Financial LLC. James has been in the financial industry for approximately 3 years. James is registered in North Carolina and South Carolina and has passed the Series 63, Series 66, Series 7TO and SIE exams. James has experience with a variety of financial products and services, including financial planning, portfolio management for businesses and individuals, educational seminars, and pension consulting. James is committed to providing clients with the highest quality of service 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.
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.
Consulting and other non-discretionary advisory services
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
SC
08/30/2024 - Present
LPL Financial LLC (FORT MILL SC)
BOTH
Issued 08/29/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/05/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/10/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
Not sure James Dockins is the right advisor for you? Invested Better is here to help.
