Nixon D. James
Professional summary
Nixon D James, CFP®, who also goes by Nixon D James, Nixon Durai James, is a registered financial advisor currently at SHEPHERD ADVISOR located in Rancho Cucamonga, California.
Nixon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Nixon has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nixon D James's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
November 14, 2023 - Present
SHEPHERD ADVISOR
November 15, 2019 - January 3, 2024
LEXAURUM ADVISORS
August 30, 2019 - November 29, 2019
U.S. BANCORP INVESTMENTS, INC.
August 30, 2019 - November 29, 2019
U.S. BANCORP INVESTMENTS, INC.
March 27, 2012 - September 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2012 - September 3, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 2, 2010 - March 22, 2012
EAGLE STRATEGIES LLC
April 29, 2009 - March 22, 2012
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/14/2023)
Exams
Current Firm
SHEPHERD ADVISOR
CRD#: 328734 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 6 |
| AUM (Assets Under Management) | $ 5,000,000 |
Red Flags
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