JD
James M. Dickey
JONESTRADING
New York, NY 10013
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CRD#: 7854284
JD
Professional summary
James M Dickey, who also goes by James M Dickey V, is a registered financial professional currently at JONESTRADING located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 2024. James has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James M Dickey V
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.
CRS (Client Relationship Summary) - BD
Click below to view James M Dickey's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 5, 2024 - Present
JONESTRADING
Office #1: 325 Hudson St 6th Floor, New York, NY, 10013BD
CRD#: 6888
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/4/2024)
RR
Colorado(2/5/2024)
RR
Connecticut(3/4/2024)
RR
Florida(2/5/2024)
RR
Hawaii(3/4/2024)
RR
Massachusetts(3/4/2024)
RR
New Jersey(3/4/2024)
RR
New York(3/4/2024)
RR
South Carolina(3/4/2024)
RR
Texas(3/4/2024)
RR
Utah(3/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 8/26/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 2/5/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JO
JONESTRADING
JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.
CRD#: 6888 / SEC#: , 8-26089
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360
Mailing Address
555 Saint Charles Drive, Thousand Oaks, CA 91360
Phone number
(818) 991-5500
Established
Delaware since 08/15/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES & ASSOCIATES, INC. | HOLDING COMPANY | |
| BELL, JEREMY DAVID | CCO | 4498676 |
| CHMIELEWSKI, STEVEN ANDREW | DIRECTOR | 2066307 |
| COHEN, SHLOMO | DIRECTOR | 2877188 |
| COOK, BURKE MCCLAIN | CORPORATE SECRETARY / LEGAL COUNSEL | 4863190 |
| HILL, ALAN FINBAR | CEO / DIRECTOR | 5182098 |
| KIRSCH, WILLIAM TANNER | DIRECTOR | 5428522 |
| LEVEEN, JEFFREY EARLE JR | DIRECTOR | 2919172 |
| MICSKY, JEFFREY A | DIRECTOR | 4820920 |
| ONEIL, TIMOTHY DAWSON | EXECUTIVE CHAIRMAN | 2355507 |
| TESORO, ANTHONY JAMES | DIRECTOR | |
| TESORO, PHILLIP JAMES | DIRECTOR | 2009378 |
| WONG, JEFFREY RYAN | FINANCIAL AND OPERATIONS PRINCIPAL | 4428807 |
Disclosures
| Regulatory Event | 9 |
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.
