Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lawrence Diblasi is a financial advisor with over 27 years of experience in the industry. James has been registered with Stifel, Nicolaus & Company, Inc. since February 2019. Prior to joining Stifel, Nicolaus & Company, Inc. James was employed by Merrill Lynch, Pierce, Fenner & Smith Incorporated for over 12 years. James has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice. James holds the Series 7, Series 63, Series 65, and Series 66 licenses.
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
NY
01/24/2020 - Present
Stifel, Nicolaus & Company, Inc. (DEWITT NY)
NY
12/07/2006 - 02/25/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SYRACUSE NY)
NY
07/01/2003 - 12/08/2006
WACHOVIA SECURITIES, LLC (SYRACUSE NY)
NY
04/21/2003 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
03/09/2002 - 04/25/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MA
03/19/1996 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BOTH
Issued 08/17/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1996
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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