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).
