James Wicklund
Professional summary
James Wicklund, who also goes by James Knowlton Wickland, James Knowlton Wicklund, Jim Wicklund, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Wicklund's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2023 - Present
PPHB SECURITIES LP
Office #1: 1885 St. James Place Suite 900, Houston, TX 77056February 28, 2019 - April 12, 2022
STEPHENS
July 5, 2012 - April 12, 2019
CREDIT SUISSE SECURITIES (USA) LLC
June 13, 2007 - November 28, 2007
SPINNERHAWK CAPITAL MANAGEMENT, L.P.
June 28, 2001 - March 21, 2007
BANC OF AMERICA SECURITIES LLC
March 2, 1998 - July 13, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 1, 1992 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
July 17, 1991 - August 17, 1992
PRINCIPAL FINANCIAL SECURITIES,INC.
November 12, 1986 - December 3, 1990
JEFFERIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/29/2023)
Exams
Series 79TO
Date: 11/3/2020
Investment Banking Registered Representative ExaminationFINRA
Current Firm
PPHB SECURITIES LP
CRD#: 132074 / SEC#: , 8-66550
Contact information
FINRA licenses (2 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 |
Red Flags
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