Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bernard is a financial advisor currently registered with Stifel, Nicolaus & Company, Inc. James has been active in the financial industry since December 9, 1994. James has registration in multiple states, including New York, where James has a current active registration as an investment adviser representative. Before working at Stifel, Nicolaus & Company, Inc. James previously worked at RYAN BECK & CO., GRUNTAL & CO., L.L.C., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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
NY
05/26/2021 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
04/29/2002 - 08/21/2007
RYAN BECK & CO. (NEW YORK NY)
NY
08/07/2001 - 05/08/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
11/30/1994 - 07/27/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 01/20/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Bernard is the right advisor for you? Invested Better is here to help.
