Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Duncan is an active investment advisor representative and registered representative with Stifel, Nicolaus & Company, Inc. with over 14 years of experience in the industry. James has been registered with the Securities and Exchange Commission since 2008 and has also worked with other firms such as BMO Harris Financial Advisors, Inc. and M&I Financial Advisors, Inc. James has earned his Series 7, Series 63, and Series 65 licenses and has experience providing financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and pooled investment vehicles.
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
MO
10/24/2018 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
08/01/2012 - 01/04/2017
BMO HARRIS FINANCIAL ADVISORS, INC. (ST LOUIS MO)
MO
09/29/2008 - 08/01/2012
M&I FINANCIAL ADVISORS, INC (ST LOUIS MO)
IA
Issued 03/09/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2008
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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