Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hafele is an Investment Advisor Representative with Stifel, Nicolaus & Company, Inc. based in NEW YORK, NY. James has over 19 years of experience in the financial services industry. James is a Certified Financial Planner® professional.
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
NY
08/29/2022 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
06/25/2010 - 12/04/2015
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
06/01/2009 - 07/21/2010
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
11/17/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
12/09/2004 - 11/29/2006
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BOTH
Issued 04/05/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/02/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/2004
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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