James DosterCRD Number: 1443461
Current Firm: Fifth Third Securities, Inc.
James Doster (CRD# 1443461) is an Investment Advisor Representative working at Fifth Third Securities, Inc. in Nicholasville, KY and has over 32 years of experience in the finance industry.
Pierce Financial Planning, Inc.
Investment Professionals, Inc.
Context Financial LLC
|Fifth Third Securities||Dayton, OH||Jul 2010 - Current||7|
|Pnc Investments||Troy, OH||Nov 2009 - Jul 2010||< 1|
|Natcity Investments, Inc.||Cleveland, OH||Oct 2005 - Jul 2010||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1986|
|S65||NASAA Investment Advisors Law Examination||Oct 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management888MILLIONS
Total Number of Accounts4,990ACCOUNTS
Average Account Value$177,914
- A percentage of assets under your management
- 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)
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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV