Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Baudo is an investment advisor representative with Stifel, Nicolaus & Company, Inc. located in Greenwood Village, Colorado. James has over 30 years of experience in the financial services industry. James has a Series 7, Series 63, and Series 65. James has been registered with the Securities and Exchange Commission since 1992. James has held previous positions at Kirkpatrick, Pettis, Smith, Polian Inc. and EBI Securities Corporation. James has a strong track record of success in providing financial advice to individuals, families, and businesses.
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
CO
01/08/2020 - Present
Stifel, Nicolaus & Company, Inc. (GREENWOOD VILLAGE CO)
NE
03/09/1999 - 08/01/2001
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
CO
10/07/1992 - 01/11/1999
EBI SECURITIES CORPORATION (ENGLEWOOD CO)
CO
08/23/1991 - 10/07/1992
R A F FINANCIAL CORPORATION (DENVER CO)
IA
Issued 05/06/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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