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James Philip Zickel

Southeast Investments, N.c., Inc.

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About James Philip Zickel

James Zickel is a financial professional with over 30 years of experience in the industry. James is currently registered with Southeast Investments, N.c., Inc. and has been with the firm since 2006. Prior to joining Southeast Investments, N.c., Inc., James held positions at FSC Securities Corporation, Protective Equity Services, Inc., Mariner Financial Services, Inc., Century Investors of America, Inc. and First Investors Corporation. James is licensed to provide securities related advice and services in Arizona, Florida and South Carolina.

Firm Information

James Zickel is currently registered with Southeast Investments, N.c., Inc.. Southeast Investments, N.c., Inc. is a Corporation that was formed on December 6, 1996. They are a registered investment advisor with the SEC and all 51 states. They provide financial planning, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. They also offer wrap fee program participation.

Not reported

Assets Under Management

Not reported

Total Clients

45

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Offer products as a b/d on a commission basis

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James Zickel’s Registration & Firm History

NC

09/05/2006 - Present

Southeast Investments, N.c., Inc. (CHARLOTTE NC)

SC

01/03/1995 - 09/06/2006

FSC SECURITIES CORPORATION (SIX MILE SC)

AL

02/20/1991 - 01/04/1995

PROTECTIVE EQUITY SERVICES, INC. (BIRMINGHAM AL)

FL

07/23/1990 - 12/31/1990

MARINER FINANCIAL SERVICES, INC. (LARGO FL)

NA

11/26/1985 - 05/01/1990

CENTURY INVESTORS OF AMERICA, INC.

NA

08/16/1984 - 12/27/1985

FIRST INVESTORS CORPORATION

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Licenses & Designations

IA

Issued 11/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/12/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1984

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Philip Zickel.
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