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JD

James R. Dickie

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CRD#: 4465359
JD

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 R Dickie, who also goes by James Robert Dickie, James Dickie, was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 2002. James had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Robert Dickie | James Dickie

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

March 2, 2018 - November 11, 2021

SOUTHEAST INVESTMENTS, N.C., INC.

BD
CRD#: 43035
CHARLOTTE, NC
Past

August 14, 2015 - March 2, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Salem, OR
Past

April 24, 2015 - August 14, 2015

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
SALEM, OR
Past

April 23, 2015 - August 14, 2015

JHS CAPITAL ADVISORS, LLC

RIA
CRD#: 112097
SALEM, OR
Past

February 3, 2012 - April 16, 2015

CETERA ADVISORS LLC

RIA
CRD#: 10299
SALEM, OR
Past

February 3, 2012 - April 16, 2015

CETERA ADVISORS LLC

BD
CRD#: 10299
SALEM, OR
Past

May 11, 2009 - February 9, 2012

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PORTLAND, OR
Past

May 11, 2009 - February 9, 2012

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PORTLAND, OR
Past

September 7, 2006 - March 3, 2008

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
CORVALLIS, OR
Past

September 1, 2006 - March 3, 2008

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
CORVALLIS, OR
Past

October 7, 2004 - September 5, 2006

WAMU INVESTMENTS, INC.

BD
CRD#: 599
ALBANY, OR
Past

March 10, 2004 - October 12, 2004

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
ROSEVILLE, CA
Past

March 10, 2004 - October 12, 2004

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
SAN FRANCISCO, CA
Past

November 22, 2002 - August 26, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SACRAMENTO, CA
Past

February 28, 2002 - August 26, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 65
Date: 2/9/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/12/2001
General Securities Representative Examination

Current Firm

SI
SOUTHEAST INVESTMENTS, N.C., INC.
SOUTHEAST INVESTMENTS N.A., INC. | SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035 / SEC#: , 8-50127

Florida
Registered Investment Advisory firm - SEC (11/7/2019 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (3/31/2016 Terminated)
South Carolina
Registered Investment Advisory firm - SEC (1/6/2012 Approved)
Texas
Registered Investment Advisory firm - SEC (12/16/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (12/21/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
820 Tyvola Road-suite 104 Suite 104, Charlotte, NC 28217-3528
Mailing Address
820 Tyvola Road-suite 104, Charlotte, NC 28217
Phone number
(704) 527-7873
Established
North Carolina since 12/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BLACK, JONATHAN HARRISONPRESIDENT/CEO/CCO/FINOP4975641
PLEXICO, RONALD DAVID JRPRINCIPAL2122340

Disclosures

Regulatory Event3
Arbitration3

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

SOUTHEAST INVESTMENTS, N.C., INC.

CRD#: 43035

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