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James Nicklaus Dockins

LPl Financial LLC

Fort Mill, SC

Charlotte, NC

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-08-30
SC RA APPROVED 2024-08-30
  • NC RA
    APPROVED
    Since 2024-08-30
  • SC RA
    APPROVED
    Since 2024-08-30

Branch Locations

1055 Lpl Way, Fort Mill, SC 29715 • United States

Charlotte, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Fort Mill SC 04/2023 Present
Adhesion Wealth Charlotte NC 10/2021 04/2023
The University Of North Carolina At Charlotte Charlotte NC 08/2019 12/2021
Appalachian State University Boone NC 08/2017 08/2019
Ardrey Kell High School Charlotte NC 08/2013 06/2017
  • 04/2023 → Present
    Lpl Financial Llc
    Fort Mill, SC
  • 10/2021 → 04/2023
    Adhesion Wealth
    Charlotte, NC
  • 08/2019 → 12/2021
    The University Of North Carolina At Charlotte
    Charlotte, NC
  • 08/2017 → 08/2019
    Appalachian State University
    Boone, NC
  • 08/2013 → 06/2017
    Ardrey Kell High School
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-29
S63 Uniform Securities Agent State Law Examination 2023-08-31
  • S66 Uniform Combined State Law Examination
    2024-08-29
  • S63 Uniform Securities Agent State Law Examination
    2023-08-31

View on SEC IAPD

Other Firms

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BELLEAIR WEALTH MANAGEMENT, LLC
WEALTHCARE ADVISORY PARTNERS LLC
INSIGHT SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
SCHWAB WEALTH ADVISORY, INC.
PFS INVESTMENTS INC.

Other Investors

ALPESH JITENDRA PATEL
Tamrah Jennifer Bordini
MATTHEW N WALLEN
RAMIRO IGNACIO PARES
NILDA MELGAREJO DE BOYRIE
STEVEN Samuel SHANEYFELT
Katie Wineski Riegel
Christopher Wayne McAlister

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mill, SC
BELLEAIR WEALTH MANAGEMENT, LLC · Fort Mill, SC
WEALTHCARE ADVISORY PARTNERS LLC · Fort Mill, SC
INSIGHT SECURITIES, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Fort Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Ft Mill, SC
EDWARD JONES · FORT MILL, SC

More in Fort Mill, SC

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