James Wicklund
Professional Summary
James Wicklund, who also goes by James Knowlton Wickland, James Knowlton Wicklund, Jim Wicklund, is a registered financial advisor currently at PPHB SECURITIES LP located in Houston, Texas. James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 10 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 86, Series 87, Series 7, Series 16 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
James Knowlton Wickland, James Knowlton Wicklund, Jim Wicklund
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Videos & Posts
This advisor has not added any videos or posts yet.
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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 on record.
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Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
PPHB SECURITIES LP
Contact Information
Main Address
1885 St. James Place Suite 900, Houston, TX 77056Mailing Address
1885 St. James Place Suite 900, Houston, TX 77056Phone Number
(713) 580-2700Established
Texas since 10/16/2003Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROWN, RAYMOND LLOYD JR. | LIMITED PARTNER/REGISTERED PRINCIPAL | 4144874 |
| BUCHANAN, JOE BLAKE | LIMITED PARTNER/REGISTERED PRINCIPAL | 5095659 |
| HOEPFL, JOSEPH ALLEN | CHIEF COMPLIANCE OFFICER/LIMITED PARTNER/REGISTERED PRINCIPAL | 2950986 |
| PARKS PATON HOEPFL & BROWN, LLC | GENERAL PARTNER | — |
| SCHAPS, MICHAEL ROBERT | FINOP/CFO/PFO/POO | 1892138 |
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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
(8/29/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Nov 2020About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Sep 2012About the Series 87 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Wicklund's CRS (Customer Relationship Summary).
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