Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Douglas Harris is a financial advisor with Stifel, Nicolaus & Company, Inc. located in Birmingham, Alabama. James has been in the industry for over 25 years. James has a Series 6, 7, 63, and 65 licenses and the SIE exam. He is also registered with the states of Alabama, California, Florida, Georgia, Kentucky, Louisiana, Mississippi, New York, Oregon, Tennessee, and Texas. James's experience includes working at Sterne, Agee & Leach, Inc. and SunAmerica Capital Services, Inc. He is currently registered with Stifel, Nicolaus & Company, Inc. in both Alabama and Texas.
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
AL
10/03/2019 - Present
Stifel, Nicolaus & Company, Inc. (BIRMINGHAM AL)
AL
04/27/2009 - 07/07/2015
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
NJ
09/05/2008 - 04/23/2009
SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)
TN
03/16/2001 - 06/21/2004
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NJ
08/14/2000 - 04/02/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
08/16/1996 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
07/31/1993 - 09/03/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
04/09/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 09/26/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/08/1992
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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