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James Gareth Lister

J.h. Darbie & CO., Inc.

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About James Gareth Lister

James Gareth Lister is a financial advisor at J.h. Darbie & CO., Inc. located in NEW YORK, NY. James has over 20 years of experience in the financial industry and is a Series 7, Series 63 and SIE licensed professional. James has previously worked at Lehman Brothers Inc., Lehman Government Securities Inc., PaineWebber Incorporated, and Lehman Special Securities Inc. James is a specialist in portfolio management for individuals.

Firm Information

James Lister is currently registered with J.h. Darbie & CO., Inc.. J.h. Darbie & CO., Inc. is a Corporation registered with the SEC and in 46 states. Founded in June 1997, the firm offers advisory services including portfolio management for individuals and selection of other advisors. They also participate in wrap fee programs. They have approximately 9 employees, including licensed agents, investment advisor representatives, and registered representatives. The firm's website is HTTP://WWW.JHDARBIE.COM.

Not reported

Assets Under Management

Not reported

Total Clients

28

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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subadvisory and solicitations

Subadvisory and solicitations

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Subadvisory and solicitations

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James Lister’s Registration & Firm History

NY

11/04/2013 - Present

J.h. Darbie & CO., Inc. (NEW YORK NY)

NY

11/02/1993 - 09/18/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NA

11/02/1993 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NJ

05/13/1992 - 08/12/1995

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

11/02/1993 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

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Licenses & Designations

BC

Issued 03/27/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/04/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Gareth Lister.
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