Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lathrop is a financial advisor with Stifel, Nicolaus & Company, Inc. in Oklahoma City, Oklahoma. James has been a financial advisor for over 23 years. James specializes in providing financial planning, investment management, and retirement planning services to individual investors, businesses, and institutions. James holds a number of industry licenses and designations, including the Series 7, Series 3, Series 10, Series 31, and Series 66 exams.
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
OK
03/17/2023 - Present
Stifel, Nicolaus & Company, Inc. (OKLAHOMA CITY OK)
OK
06/01/2009 - 03/21/2023
MORGAN STANLEY (Oklahoma City OK)
OK
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (EDMOND OK)
OK
04/26/2000 - 04/02/2007
MORGAN STANLEY DW INC. (OKLAHOMA CITY OK)
MN
02/09/1999 - 07/21/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/09/1999 - 07/21/1999
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 03/30/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/25/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/21/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2004
Series 3 - National Commodity Futures Examination
BC
Issued 08/24/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 02/08/1999
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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