Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Harvey Moll is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the industry since December 1985. James works in the ROSEVILLE, CA branch office. James also worked for WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, BIRR, WILSON SECURITIES, INC. and BIRR, WILSON & CO., INC..
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
CA
01/14/2011 - Present
Stifel, Nicolaus & Company, Inc. (ROSEVILLE CA)
CA
01/01/2008 - 01/14/2011
WELLS FARGO ADVISORS, LLC (CHICO CA)
CA
03/01/1990 - 01/03/2008
A. G. EDWARDS & SONS, INC. (OROVILLE CA)
CA
02/09/1988 - 03/07/1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
NA
04/01/1986 - 02/09/1988
BIRR, WILSON SECURITIES, INC.
NA
12/17/1985 - 04/01/1986
BIRR, WILSON & CO., INC.
BC
Issued 01/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/31/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/31/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/1985
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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