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Detailed Report
JAMES JACKSON IV
JAMES IV JACKSON
CRD#: 1100824
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 AUBURN, ME
Registration History
1985199019952000200520102015202020252 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)1989 - 2024 (35 years)BTHE PRUDENTIAL INSURANCE COMPA... (CRD# 680)1989 - 1993 (4 years)BWALNUT STREET SECURITIES, INC. (CRD# 15840)1987 - 1989 (1 year)BNEW YORK LIFE SECURITIES CORP. (CRD# 5167)1984 - 1986 (1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2002 - 2024 (21 years)
License(s)

State Registrations

B
Florida 11/15/2024
B
North Carolina 12/13/2024
B
Maine 11/14/2024
B
Ohio 2/5/2025
IA
Maine 11/14/2024
B
Pennsylvania 1/21/2025
B
Massachusetts 2/1/2025
B
Puerto Rico 1/16/2025
B
New Hampshire 11/14/2024
B
Texas 1/2/2025
IA
New Hampshire 11/14/2024

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
AUBURN, ME
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
AUBURN, ME
Registered with this firm since 11/14/2024
Previous Registration(s)
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IA
 12/11/2002 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) AUBURN, ME
B
 02/15/1989 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) AUBURN, ME
B
 02/14/1989 - 12/10/1993 THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (CRD#:680) NEWARK, NJ
B
 09/22/1987 - 02/06/1989 WALNUT STREET SECURITIES, INC. (CRD#:15840)
B
 10/31/1984 - 03/21/1986 NEW YORK LIFE SECURITIES CORP. (CRD#:5167)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.