Jim Yockey, financial advisor Houston TX
93 score

Jim Yockey

CRD Number: 1055280
Current Firm: Next Financial Group, Inc.

Jim Yockey (CRD# 1055280) is an Investment Advisor Representative working at Next Financial Group, Inc. in Houston, TX and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Next Financial Group Louisville, KY Mar 2016 - Current < 1
Investment Centers Of America Prospect, KY Jul 2012 - Mar 2016 3
Investment Professionals, Inc. Clarksville, IN Oct 2008 - Jul 2012 3
Wfg Investments Louisville, KY Apr 2008 - Oct 2008 < 1
Williams Financial Group Dallas, TX Apr 2003 - Jan 2008 4
Financial Product Distributors LLC Waltham, MA Jul 2005 - May 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2003
S65 NASAA Investment Advisors Law Examination May 1997
Contact Info for Jim A. Yockey
Phone Number: 713-789-7122
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
    1,564
    MILLIONS
  • Total Number of Accounts
    8,116
    ACCOUNTS
  • Average Account Value
    $192,726
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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