Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Livasy is a financial advisor at Stifel, Nicolaus & Company, Inc. James has been in the financial industry since 1983, specializing in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and pooled investment vehicles. James has a diverse set of qualifications including Series 3, 7, 9, 10, 63, and 65 licenses as well as experience with multiple types of investment products and strategies. James is registered with the Securities and Exchange Commission (SEC) and holds registrations in 38 states. James is a board president for a home care provider and a board member for a community development organization.
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
IL
04/25/2003 - Present
Stifel, Nicolaus & Company, Inc. (DECATUR IL)
NA
02/01/1988 - 11/18/1988
ROWLAND, SIMON & CO.
NA
09/23/1983 - 02/01/1988
R. ROWLAND & CO., INCORPORATED
IA
Issued 05/18/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/27/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/1983
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1983
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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