Jim Yockey is a registered investment advisor, based in Louisville, KY, with 37 years of industry experience.
Location
One Oxmoor Place, 101 Bullitt Lane, Ste G-5, Louisville, KY, 40222
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Jim is an author, an independent insurance agent for various companies since 2019, and a financial professional utilizing the DBA name Wisdom Financial Management LLC. He also works as a consultant for OnRequest LLC, a mobile healthcare clinic company.
Employment History
Current Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Previous Registrations
Next Financial Group, INC.Broker
Next Financial Group, INC.
Investment Centers of America, INC.
Investment Centers of America, INC.Broker
Investment Professionals, INC.Broker
Investment Professionals, INC.
Wfg Advisors, LP
Wfg Investments, INC.Broker
Wfg Advisors, LP
Wfg Investments, INC.Broker
Investors Capital Advisory
Investors Capital CORP.Broker
The (wilson) Williams Financial GroupBroker
Fisher Investments,inc.
Dljdirect INC.Broker
Transamerica Securities Sales CorporationBroker
Morgan Keegan & Company, INC.Broker
The Dreyfus Service CorporationBroker
Roulston Research CORP.Broker
Alliance Fund Distributors, INC.Broker
Pilgrim Distributors CORP.Broker
Colonial Investment Services, INC.Broker
Putnam/eberstadt Financial Services, INC.Broker
Prudential-Bache Securities INC.Broker
State Registrations13 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.