An accomplished financial services leader who resides in the Birmingham suburb of Mountain Brook, Alabama, James Dixon has served as a managing director at Stifel Nicolaus and Company for the past two years. James Dixon earned an MBA from the University of Alabama, and he holds official Series 7, Series 8, Series 63, and Series 65 financial securities licenses.
Formerly administered by the National Association of Securities Dealers (NASD) and currently administered by the Financial Industry Regulatory Authority (FINRA), these securities series licenses signify professional competency in various areas of marketplace functions. The Series 7 license is a prerequisite for all general securities representatives who handle the buying and selling of corporate or municipal securities and other financial products.
The Series 8 license, required of all general securities sales supervisors, enables an individual to oversee other professionals who trade in securities. The Series 63 license indicates that the holder has passed the Uniform Securities Agent State Law Exam, which enables the holder to solicit the purchase or sale of securities within a particular state, while the Series 65 license indicates that the holder has passed the Uniform Investment Adviser Law Exam, which enables the holder to provide services as an investment adviser.
Formerly administered by the National Association of Securities Dealers (NASD) and currently administered by the Financial Industry Regulatory Authority (FINRA), these securities series licenses signify professional competency in various areas of marketplace functions. The Series 7 license is a prerequisite for all general securities representatives who handle the buying and selling of corporate or municipal securities and other financial products.
The Series 8 license, required of all general securities sales supervisors, enables an individual to oversee other professionals who trade in securities. The Series 63 license indicates that the holder has passed the Uniform Securities Agent State Law Exam, which enables the holder to solicit the purchase or sale of securities within a particular state, while the Series 65 license indicates that the holder has passed the Uniform Investment Adviser Law Exam, which enables the holder to provide services as an investment adviser.
