Stifel Nicolaus & Company managing director James Dixon provides clients with a full range of investment management services. A longtime Mountain Brook, Alabama, resident, James Dixon has extensive experience in securities management and has completed the Security Investors Association’s Branch Manager Development Program.Comprising primary and secondary stock exchanges and markets, the security markets offer companies a conduit of raising significant funds through the initial public offering of stock. They also function as a marketplace in which already issued stock is traded, with the laws of supply and demand, influenced by corporate and economic performance, determining the stock’s current price. In the United States, investor confidence in the markets is ensured through the active regulation of the Securities and Exchange Commission (SEC), established in 1934, at the height of the Great Depression. Among its roles is safeguarding against misconduct among corporate entities and traders through a variety of statutes, including full public disclosure. A major function is monitoring for cases of illegal insider trading that rely on non-publicly disclosed information, known only to internal company management, and which can distort equity prices.
James Dixon is a former resident of Mountain Brook that currently serves as a managing director for Stifel Nicolaus & Company. Currently a resident of Birmingham near Mountain Brook, James Dixon also holds a masters in business administration from Alabama University and attended the Securities Industry Institute at the Wharton School of Business. Located in Philadelphia, the Wharton School is an institution of higher education that operates under the University of Pennsylvania. The school offers many executive education programs through its the Avery Institute of Executive Education. Each year, more than 10,000 executives improve their leadership through programs like the Securities Industry Institute.Designed specifically for financial services industry professionals, the Securities Industry Institute is a three-year program offered by Wharton in partnership with the Securities Industry and Financial Markets Association (SIFMA). The institute’s educational model utilizes a cost-effective talent development approach, which offers practical knowledge that can be immediately applied at work. Moreover, students learn from proven experts in the field who provide insights on leadership and managerial skills, as well as industry-specific knowledge. For a full listing of benefits and program highlights, visit www.executiveeducation.wharton.upenn.edu.
Currently serving as the managing director of Stifel Nicolaus & Company in Birmingham, Alabama, James Dixon of Mountain Brook is responsible for overseeing the operations of the southeast region. As a business professional living in Mountain Brook, James Dixon is also a member of several professional organizations such as the Birmingham Rotary Club. The Birmingham chapter of the Rotary Club was founded in 1913 through the efforts of local architect Harry B. Wheelock. Its members have provided leadership with several local groups, such as the Chamber of Commerce, the United Way, and the Red Cross. The local rotary club currently includes more than 635 members.The Birmingham Rotary Club provides many community service programs, one of which is the Preschool Learning Initiative (PLI), designed to help provide instructional programs for reading readiness to 4-year-olds. The Club supports the PLI by providing volunteers to help in classrooms, participating in many preschool events, and contributing additional support for preschool classrooms.
James Dixon is a resident of Mountain Brook, Alabama. He enjoys outdoor sports and Alabama football. Moreover, James Dixon works in the financial investment industry as a managing director for Stifel Nicolaus & Company near Mountain Brook and holds FINRA’s Series 7, 8, 63, and 65 licenses.
The Series 65 is a securities license that allows financial professionals to serve as investment advisors. To obtain the certification, they must pass an exam known as the Uniform Investment Adviser Law Examination. The Financial Industry Regulatory Authority (FINRA) administers the exam, which the North American Securities Administrators Association develops.The exam takes place over the course of three hours and includes 130 multiple choice questions. It currently covers four content areas, each of which receives a different scoring weight. Economic factors and business information constitute the first content area, which receives a 14% weight. The other areas include investment vehicle characteristics (a 34% weight); client investment recommendations and strategies (a 31% weight); and laws, regulations, and guidelines (a 31% weight).
A resident of Mountain Brook, Alabama, James Dixon brings more than 20 years of financial services experience to his role as a managing director with Stifel Nicolaus & Company in Birmingham. Alongside his work at the firm, Mountain Brook's James Dixon dedicates his time and resources to several nonprofit groups, including the Cystic Fibrosis Foundation (CFF).Dedicated to improving the lives of those with cystic fibrosis, CFF offers care centers, assistance services, and a range of research initiatives aimed at advancing treatments and ultimately finding a cure for the disease. To continue this work, the organization oversees a number of fundraising events, including Great Strides. Held in more than 500 communities throughout the United States, Great Strides brings together business leaders and individual volunteers to raise funds for the work of CFF. In addition to the 125,000 people who participate in walks each year, Great Strides is supported by a number of national sponsors, including AbbVie, Walgreens, and Novartis. Those who would like to participate can join a team or take part as individual walkers. Currently, there are a number of Great Strides events planned in cities across the country. To find a walk in your area, visit www.fightcf.cff.org.
With an MBA from the University of Alabama, James Dixon of Mountain Brook oversees business operations as the managing director of the southeast region at Stifel Nicolaus & Company, based in Birmingham. Away from the office, James Dixon enjoys spending time outdoors hunting and fishing.Whether for recreation or for survival, people have been fishing for centuries. Some aspects of the activity will likely never change, but there are a few trends that have developed recently. Here are three examples.1. More affordable, quality equipmentFor several years, only a few purveyors of fishing gear existed. The expanding market has yielded more variety, higher quality, and lower prices, making equipment more accessible to anglers than ever before.2. New underwater technologyThe tech industry has proliferated itself in nearly every market, including fishing. At the 2017 CES conference, fishers caught a glimpse of the first underwater fishing drones, which hold the potential of detecting fish and making catches at depths and conditions previously unimagined.3. Crowding of popular locationsWhat used to be considered the outskirts of town have now connected with the urban landscape as cities throughout the United States and Canada have grown. As a result, once popular fishing holes are becoming more crowded, requiring anglers to travel further to find more remote water.
