James S. Dockery
Professional summary
James Stephen Dockery III, who also goes by James S Dockery, is a registered financial professional currently at PNFP CAPITAL MARKETS, INC. located in Charlotte, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Stephen Dockery III's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2024 - Present
PNFP CAPITAL MARKETS, INC.
Office #1: 6000 Fairview Road Suite 1105, Charlotte, NC 28210August 8, 2006 - November 18, 2024
FIDUS SECURITIES, LLC
July 1, 2003 - March 20, 2006
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 30, 1998 - February 1, 1999
BOWLES HOLLOWELL CONNER & CO.
November 26, 1997 - April 30, 1998
BOWLES HOLLOWELL CONNER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/19/2024)
(11/19/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PNFP CAPITAL MARKETS, INC.
CRD#: 179528 / SEC#: , 8-69608
Contact information
FINRA licenses (10 States and Territories)
Documents
Red Flags
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