Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ferguson is a registered representative of Stifel, Nicolaus & Company, Inc. and has been in the financial services industry since 1985. James has experience working with a variety of clients, including high-net-worth individuals, businesses, and institutions. James offers a range of financial services, including financial planning, portfolio management, and retirement planning. James's current employer, Stifel, Nicolaus & Company, Inc., is a full-service investment firm that provides a variety of financial products and services to individual and institutional investors. Prior to joining Stifel, Nicolaus & Company, Inc., James worked for Sterne, Agee & Leach, Inc., Citigroup Global Markets Inc., Lehman Brothers Inc., B C Financial Corporation, and Blinder, Robinson & 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
TN
07/07/2015 - Present
Stifel, Nicolaus & Company, Inc. (CHATTANOOGA TN)
TN
05/22/2009 - 07/07/2015
STERNE, AGEE & LEACH, INC. (CHATTANOOGA TN)
TN
07/31/1993 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (CHATTANOOGA TN)
NY
08/21/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/07/1988 - 09/01/1989
B C FINANCIAL CORPORATION
NA
07/24/1985 - 11/02/1988
BLINDER, ROBINSON & CO., INC.
IA
Issued 07/01/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/05/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1993
Series 3 - National Commodity Futures Examination
BC
Issued 07/20/1985
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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