Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Pingleton is a financial advisor at Stifel, Nicolaus & Company, Inc., where he has been employed since November 2010. James Michael Pingleton has been active in the industry since June 2, 2013 and is registered with the Financial Industry Regulatory Authority (FINRA) and in 53 states. James Michael Pingleton has a broad range of experience and holds several licenses and certifications including the Series 7, Series 66, and SIE exams. James Michael Pingleton is a member of the Stifel, Nicolaus & Company, Inc. team which manages over $149 billion in assets. James Michael Pingleton specializes in a variety of investment products and services, including financial planning, portfolio management, and pension consulting. James Michael Pingleton is committed to providing clients with personalized investment advice and helping them achieve their financial goals.
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
04/10/2014 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
BOTH
Issued 04/09/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2013
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
Not sure James Pingleton is the right advisor for you? Invested Better is here to help.
