Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Austin Walne is a registered investment advisor with Stiefel, Nicolaus & Company, Inc., based in Memphis, TN. James has been in the financial industry since 1978.
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
TN
04/10/2014 - Present
Stifel, Nicolaus & Company, Inc. (MEMPHIS TN)
TN
01/26/1983 - 04/23/2010
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NA
09/01/1977 - 09/21/1982
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INCORPORATED
IA
Issued 09/14/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1977
Series 7 - General Securities 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
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