Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jim? Claim Your ProfileJim Alan Yockey is a financial advisor registered with Cambridge Investment Research Advisors, Inc. Jim has been in the financial services industry since January 17, 1989. Jim's career began with Colonial Investment Services, Inc. and since then Jim has held positions with several firms including Putnam/Eberstadt Financial Services, Inc., Prudential-Bache Securities Inc., Dreyfus Service Corporation, Morgan Keegan & Company, Inc., Transamerica Securities Sales Corporation, DLJDIRECT INC., THE (WILSON) WILLIAMS FINANCIAL GROUP, Investors Capital Corp., WFG Investments, Inc., Investment Professionals, Inc., Investment Centers of America, Inc. and NEXT FINANCIAL GROUP, INC. Jim specializes in providing financial advice to individuals, businesses, pension plans, and charitable organizations. Jim is committed to providing his clients with the highest quality financial advice and guidance.
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.
Solicitation fees from 3rd party money managers
1
2
KY
08/22/2019 - Present
Cambridge Investment Research Advisors, Inc. (Louisville KY)
KY
03/03/2016 - 08/22/2019
NEXT FINANCIAL GROUP, INC. (LOUISVILLE KY)
KY
08/06/2012 - 03/03/2016
INVESTMENT CENTERS OF AMERICA, INC. (LOUISVILLE KY)
IN
10/17/2008 - 08/20/2012
INVESTMENT PROFESSIONALS, INC. (CLARKSVILLE IN)
TX
04/29/2008 - 10/15/2008
WFG INVESTMENTS, INC. (DALLAS TX)
TX
02/02/2006 - 09/07/2007
WFG INVESTMENTS, INC. (DALLAS TX)
MA
05/04/2005 - 12/31/2005
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
TX
07/01/2003 - 11/21/2003
THE (WILSON) WILLIAMS FINANCIAL GROUP (DALLAS TX)
NJ
02/23/2000 - 01/03/2001
DLJDIRECT INC. (JERSEY CITY NJ)
CA
11/04/1998 - 12/21/1999
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
TN
04/30/1997 - 05/22/1998
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
10/11/1996 - 05/14/1997
THE DREYFUS SERVICE CORPORATION (NEW YORK NY)
OH
04/03/1996 - 08/28/1996
ROULSTON RESEARCH CORP. (CLEVELAND OH)
TN
07/24/1989 - 01/23/1995
ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)
NA
09/08/1987 - 06/14/1988
PILGRIM DISTRIBUTORS CORP.
NA
08/31/1984 - 06/23/1987
COLONIAL INVESTMENT SERVICES, INC.
NA
08/02/1983 - 08/20/1984
PUTNAM/EBERSTADT FINANCIAL SERVICES, INC.
NA
07/01/1982 - 04/08/1983
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 07/11/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/28/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1982
Series 3 - National Commodity Futures Examination
BC
Issued 06/19/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Jim Yockey is the right advisor for you? Invested Better is here to help.
