James Darby
James Darby is a registered investment advisor at Lockton Investment Advisors, LLC, based in Dallas, TX, with 29 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales.
Compensation
Firm Size
IM Fee
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
2100 Ross Avenue, Suite 1200, Dallas, TX, 75201
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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
James works for Lockton Companies, LLC, an insurance brokerage firm, dedicating a few hours per week to general insurance brokerage services. He also spends minimal time providing investment advisory services through Lockton Investment Advisors, LLC.
Employment History
Current Registrations
Lockton Investment Advisors, LLC
Lockton Investment Securities, LLC
Lockton Investment Securities, LLCBroker
Previous Registrations
NFP Securities, INC.Broker
Woodbury Financial Services, INC.Broker
Woodbury Financial Services, INC.Broker
Proequities, INC.Broker
Locust Street Securities, INC.Broker
Linsco/private Ledger CORP.Broker
Nylife Securities INC.Broker
State Registrations3 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.