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JL

James S. Lockhart

Some features on this profile are disabled
CRD#: 4415115
JL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James S Lockhart, who also goes by James Samuel Lockhart, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2003. James had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Samuel Lockhart

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2017 - November 10, 2017

FORIS CAPITAL US LLC

BD
CRD#: 282331
Tampa, FL
Past

March 25, 2011 - December 31, 2019

HARBOR LIGHT INVESTMENT ADVISORS, LLC

RIA
CRD#: 154599
VALRICO, FL
Past

June 22, 2010 - April 27, 2011

HARBOR LIGHT SECURITIES, LLC

RIA
CRD#: 130227
TAMPA, FL
Past

June 22, 2010 - February 27, 2017

HARBOR LIGHT SECURITIES, LLC

BD
CRD#: 130227
TAMPA, FL
Past

May 19, 2009 - June 25, 2010

EDI INVESTMENT ADVISOR CORPORATION

RIA
CRD#: 124129
BLUFFTON, SC
Past

April 28, 2009 - June 25, 2010

EDI FINANCIAL, INC.

BD
CRD#: 15699
BLUFFTON, SC
Past

April 30, 2008 - May 15, 2009

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
BLUFFTON, SC
Past

April 28, 2008 - May 28, 2009

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
BLUFFTON, SC
Past

June 13, 2005 - May 1, 2008

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
BLUFFTON, SC
Past

June 13, 2005 - May 1, 2008

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
BLUFFTON, SC
Past

April 2, 2004 - July 5, 2005

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
HILTON HEAD, SC
Past

September 22, 2003 - July 5, 2005

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA
Past

May 7, 2003 - September 18, 2003

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/20/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/6/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/10/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 8/29/2006
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/17/2006
General Securities Principal Examination

Current Firm

FC
FORIS CAPITAL US LLC
FORIS CAPITAL US LLC | WATCHDOG CAPITAL, LLC

CRD#: 282331 / SEC#: , 8-69712

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
210 Commerce Way Suite 220, Portsmouth, NH 03801
Mailing Address
210 Commerce Way Suite 220, Portsmouth, NH 03801
Phone number
(603) 956-5649
Established
Georgia since 11/02/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORIS DAX MARKETS, INC.MEMBER
FIALA, ANGELA MARIAFINOP/PFO/POO5163386
MATHEWS, RENOCCO7040844
OCONNELL, MICHAEL PATRICKCEO1943113

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FORIS CAPITAL US LLC

CRD#: 282331

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