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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lebaron Springer is an investment advisor representative with over 25 years of experience. James Lebaron Springer is currently registered with Stifel, Nicolaus & Company, Inc. and has been in the industry since 1994. James Lebaron Springer has held previous positions with UBS Financial Services Inc., The Huntington Investment Company, NationsBanc Investments, Inc., Barnett Investments, Inc. and First Union Brokerage Services, Inc. James Lebaron Springer is licensed to provide investment advice in numerous states. James Lebaron Springer specializes in providing investment advice to individuals, businesses, and institutions.
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
FL
08/20/2014 - Present
Stifel, Nicolaus & Company, Inc. (SARASOTA FL)
FL
02/19/2002 - 08/14/2014
UBS FINANCIAL SERVICES INC. (SARASOTA FL)
OH
10/20/1998 - 02/21/2002
THE HUNTINGTON INVESTMENT COMPANY (COLUMBUS OH)
MA
04/01/1998 - 10/23/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
FL
08/30/1997 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NC
10/04/1994 - 08/21/1997
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 02/01/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/24/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/03/1994
Series 6 - Investment Company Products/Variable Contracts 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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