Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Westbury is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the industry since 2019. James holds a Series 63, Series 10 and Series 9 license. James is also registered in the state of Missouri. James specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and portfolio management for individuals. James has previously been employed by CHARLES SCHWAB & CO., INC. and TD AMERITRADE, 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
09/18/2023 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
05/26/2023 - 09/11/2023
CHARLES SCHWAB & CO., INC. (St Louis MO)
MO
01/30/2019 - 05/26/2023
TD AMERITRADE, INC. (ST. LOUIS MO)
BC
Issued 02/14/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/08/2019
SIE - Securities Industry Essentials 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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