Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Willey is a financial advisor currently registered with Stifel, Nicolaus & Company, Inc. based in St. Louis, MO. James has been in the financial industry since 2014. James has several industry licenses and certifications, including Series 7, Series 63, Series 66, Series 99TO and SIE. Before joining Stifel, Nicolaus & Company, Inc. James was employed by Scottrade, Inc.
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
MO
04/11/2024 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
07/07/2016 - 04/03/2018
SCOTTRADE, INC. (ST. LOUIS MO)
BOTH
Issued 04/10/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/02/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2023
Series 99TO - Operations Professional Examination
BC
Issued 04/03/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGX 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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