Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames O Lenaghan is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the industry since 1983. James has a wide range of experience, having previously worked at UBS Financial Services Inc. and Prudential Securities Incorporated. James is registered in 23 states and has a wide range of product licenses and examinations, including Series 3, 7, 9, 10, 15, 63, and 65. James specializes in 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
AL
08/14/2009 - Present
Stifel, Nicolaus & Company, Inc. (FAIRHOPE AL)
AL
09/15/2000 - 08/14/2009
UBS FINANCIAL SERVICES INC. (MOBILE AL)
NY
12/23/1994 - 09/18/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
12/08/1994 - 12/21/1994
PRUDENTIAL SECURITIES INCORPORATED
AL
06/27/1990 - 12/15/1994
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
GA
05/22/1984 - 06/19/1990
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
NA
12/21/1982 - 05/08/1984
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 04/03/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/16/1983
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 07/22/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2001
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 12/18/1982
Series 7 - General Securities 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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