Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Cole Abbott is a financial advisor at Stifel, Nicolaus & Company, Inc. James has been in the industry since June 1999 and is registered with FINRA and the state of Texas. James has a wide range of experience in providing financial advice to individuals, businesses, and institutions. He is also a registered investment advisor. James's expertise includes financial planning, portfolio management, pension consulting, and educational seminars. James has a strong track record of success and is committed to providing his clients with the highest quality of service.
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
TX
01/30/2020 - Present
Stifel, Nicolaus & Company, Inc. (McAllen TX)
TX
06/29/1999 - 01/31/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MCALLEN TX)
IA
Issued 08/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/1999
Series 7 - General Securities Representative Examination
BC
Issued 10/31/1995
Series 2 - Non-Member General Securities 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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