Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Manos has been in the financial industry since 1992. James is a registered representative with Stifel, Nicolaus & Company, Inc. James has held previous positions with UBS Financial Services Inc., McDonald Investments Inc., J.J.B. Hilliard, W.L. Lyons, Inc., Tempo Securities Corporation, Diversified Capital Markets, Inc., and Omni Capital Markets, Incorporated. James is licensed in Arizona, California, Florida, Illinois, Indiana, Kentucky, Missouri, North Carolina, Ohio, South Carolina, Texas, Virginia, and Wisconsin. James is a registered investment advisor in Ohio and Texas.
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
OH
04/29/2016 - Present
Stifel, Nicolaus & Company, Inc. (DUBLIN OH)
OH
02/09/2007 - 04/26/2016
UBS FINANCIAL SERVICES INC. (DUBLIN OH)
OH
01/16/1998 - 02/09/2007
MCDONALD INVESTMENTS INC. (DUBLIN OH)
KY
05/03/1994 - 03/02/1998
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
OH
09/26/1992 - 05/10/1994
TEMPO SECURITIES CORPORATION (CLEVELAND OH)
OH
01/03/1992 - 01/27/1992
DIVERSIFIED CAPITAL MARKETS, INC. (COLUMBUS OH)
NA
11/29/1991 - 01/17/1992
OMNI CAPITAL MARKETS, INCORPORATED
IA
Issued 10/31/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/1994
Series 7 - General Securities Representative Examination
BC
Issued 04/14/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 11/26/1991
Series 62 - Corporate Securities Limited 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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