Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Benjamin Cohen is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the financial industry since 1986. James has experience in a variety of financial products and services, including financial planning, portfolio management for businesses and individuals, and pension consulting. James holds the following licenses: Series 3, Series 7, Series 63, and Series 65. James is also a registered investment advisor in Texas and Illinois.
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
IL
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (LAKE FOREST IL)
IL
03/19/1997 - 06/19/2007
ROBERT W. BAIRD & CO. INCORPORATED (CHICAGO IL)
NA
02/21/1997 - 03/17/1997
ROBERT W. BAIRD & CO. INCORPORATED
NJ
12/20/1991 - 03/11/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
08/13/1988 - 01/08/1992
DEAN WITTER REYNOLDS INC.
NY
05/20/1986 - 01/08/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1989
Series 3 - National Commodity Futures Examination
BC
Issued 05/17/1986
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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