James Dovico
Professional Summary
James Dovico is a registered financial advisor currently at WALLACHBETH CAPITAL LLC located in Boca Raton, Florida. James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
WALLACHBETH CAPITAL LLC
Contact Information
Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431Phone Number
(646) 237-8585Established
New York since 05/05/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (44 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
3Civil Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/26/2020)
(8/26/2020)
(8/26/2020)
(8/26/2020)
(11/27/2023)
(3/5/2021)
(3/1/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 2001Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2002About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Aug 2002About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Dovico's CRS (Customer Relationship Summary).
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