Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Schroder is a financial professional with over 17 years of experience in the financial services industry. James has a broad range of experience, having worked at firms such as Lehman Brothers Inc., Montgomery & Co., LLC, US ARMA PARTNERS LP, and Mooreland Partners LLC. James currently is registered with Stifel, Nicolaus & Company, Inc., and is licensed to offer investment advice in all 50 states and territories. James holds the Series 7, Series 24, Series 63, and Series 79TO securities licenses.
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
CA
07/01/2019 - Present
Stifel, Nicolaus & Company, Inc. (SAN FRANCISCO CA)
CA
10/09/2017 - 07/02/2019
MOORELAND PARTNERS LLC (FOSTER CITY CA)
CA
03/11/2009 - 09/11/2017
US ARMA PARTNERS LP (Palo Alto CA)
CA
05/12/2006 - 09/11/2008
MONTGOMERY & CO., LLC (SAN FRANCISCO CA)
NY
02/16/2005 - 04/11/2006
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 01/24/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/03/2009
Series 24 - General Securities Principal 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 02/14/2005
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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