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JAMES ROYCE DARBY III
JAMES ROYCE DARBY, TREY DARBY
CRD#: 2567936
IA
B
LOCKTON INVESTMENT ADVISORS, LLCCRD#: 144133 2100 ROSS AVENUE, SUITE 1200
DALLAS, TX 75201
DALLAS, TX 75201
LOCKTON INVESTMENT SECURITIES, LLCCRD#: 137476 2100 Ros Ave, Suite 1200
Dallas, TX 75201
Dallas, TX 75201
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Disclosures
28
Years of Experience
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State Registrations
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Arkansas 3/14/2011
B
Texas 3/14/2011
B
Oklahoma 3/14/2011
IA
Texas 12/19/2011
SRO Registrations
B
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IA
Registered with this firm since 12/19/2011
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Registered with this firm since 3/14/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/02/2009 - 01/10/2011 | DENTON, TX | |
B | 06/12/2006 - 12/31/2008 | DENTON, TX | |
B | 04/22/2005 - 12/31/2005 | OAKDALE, MN | |
B | 11/21/2001 - 12/31/2004 | BIRMINGHAM, AL | |
B | 09/15/1998 - 11/15/2000 | DES MOINES, IA | |
B | 04/07/1997 - 09/09/1998 | FORT MILL, SC | |
B | 01/03/1995 - 03/28/1997 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.