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.
