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 Mapplethorpe is an Investment Advisor Representative with Stifel, Nicolaus & Company, Inc. located in Enfield, CT. James has been in the industry for over 25 years. James is a Series 7, Series 63, and Series 65 licensed professional. James has a wide range of experience and expertise in various areas of financial planning and wealth management. James specializes in providing financial advice to individuals, families, and businesses. James is dedicated to providing personalized and comprehensive financial guidance to help clients 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.
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2
CT
06/21/2022 - Present
Stifel, Nicolaus & Company, Inc. (ENFIELD CT)
MA
09/04/1997 - 05/29/2009
CITIGROUP GLOBAL MARKETS INC. (SPRINGFIELD MA)
IA
Issued 09/26/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1997
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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