Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Inchauspe is a financial advisor with over 35 years of experience in the financial services industry. James is currently registered with Stifel, Nicolaus & Company, Inc. and has previously been affiliated with MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. James has a wide range of experience, including securities, commodities, and financial planning. James specializes in providing financial advice to individuals, businesses, investment clubs, charitable organizations, and pension and profit-sharing plans. James holds the Series 3, Series 7, and Series 63 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.
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2
AZ
07/06/2017 - Present
Stifel, Nicolaus & Company, Inc. (PHOENIX AZ)
WY
06/01/2009 - 03/24/2010
MORGAN STANLEY SMITH BARNEY (SHERIDAN WY)
WY
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHERIDAN WY)
NY
07/21/1983 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 07/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/1987
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
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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