Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Behrendt has been in the financial services industry since April 1994. He is currently registered as a Registered Representative and Investment Advisor Representative with Stifel, Nicolaus & Company, Inc., and has been with the firm since September 2009. James has been registered in several states and has experience with a variety of client types including individuals, corporations, and institutions. James Anthony Behrendt is a skilled financial professional with a long history of helping clients achieve their financial goals. Prior to joining Stifel, Nicolaus & Company, Inc., James was employed by UBS Financial Services Inc. and Piper Jaffray & Co.
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
ND
06/01/2018 - Present
Stifel, Nicolaus & Company, Inc. (BISMARCK ND)
ND
08/12/2006 - 09/11/2009
UBS FINANCIAL SERVICES INC. (BISMARCK ND)
ND
04/20/1994 - 08/12/2006
PIPER JAFFRAY & CO. (BISMARCK ND)
IA
Issued 06/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/25/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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