Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gardner Brand is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been working in the financial industry since March 24, 1996. James holds the Series 7 and Series 66 licenses. James has been registered with Stifel, Nicolaus & Company, Inc. since December 2015. Prior to that, James worked at Barclays Capital Inc. from September 2008 to December 2015, and Lehman Brothers Inc. from March 25, 1996 to September 2008.
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
IL
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (CHICAGO IL)
IL
09/22/2008 - 12/04/2015
BARCLAYS CAPITAL INC. (CHICAGO IL)
IL
03/25/1996 - 09/22/2008
LEHMAN BROTHERS INC. (CHICAGO IL)
BOTH
Issued 04/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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