Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carter is a financial advisor with Stifel, Nicolaus & Company, Inc., and has been in the industry since 1969. James is based out of OKEMOS, MI and has been with Stifel, Nicolaus & Company, Inc. since 2009. Prior to joining Stifel, Nicolaus & Company, Inc., James was with WELLS FARGO ADVISORS, LLC and A. G. EDWARDS & SONS, INC.. James is registered with 26 states and the FINRA. James holds multiple licenses and certifications, including Series 7, 9, 10, 24, 63, and SIE. James provides financial planning, pension consulting, and portfolio management services to a variety of clients, including individuals, businesses, and investment companies.
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
MI
05/28/2009 - Present
Stifel, Nicolaus & Company, Inc. (OKEMOS MI)
MI
01/01/2008 - 06/01/2009
WELLS FARGO ADVISORS, LLC (OKEMOS MI)
MI
02/10/1992 - 01/03/2008
A. G. EDWARDS & SONS, INC. (OKEMOS MI)
MI
09/24/1969 - 02/14/1992
RONEY & CO. (DETROIT MI)
BC
Issued 11/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/21/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/21/1984
Series 4 - Registered Options Principal Examination
BC
Issued 02/19/1982
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/1977
PC - AMEX Put and Call Exam
BC
Issued 08/04/1969
Series 1 - Registered 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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