Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Williams is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been working in the financial services industry since 1996. James is a Series 7, 6, 63, 52, 10, 9, 53 and 24 licensed registered representative. James's specialties include Investment advisory, portfolio management, and financial planning. James also manages assets for individuals, families, businesses, and retirement plans.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AL
10/30/2015 - Present
Stifel, Nicolaus & Company, Inc. (MOBILE AL)
AL
02/06/2007 - 11/12/2015
RBC CAPITAL MARKETS, LLC (MOBILE AL)
AL
07/19/2001 - 02/08/2007
AMSOUTH INVESTMENT SERVICES, INC. (MOBILE AL)
PA
05/11/2001 - 07/30/2001
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
05/04/1998 - 05/16/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
GA
02/13/1996 - 07/06/1998
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 05/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/09/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/10/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/07/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1998
Series 7 - General Securities Representative Examination
BC
Issued 02/12/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Williams is the right advisor for you? Invested Better is here to help.
