Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Paul is a registered representative and investment advisor representative with Stifel, Nicolaus & Company, Inc. James has over 39 years of experience in the securities industry. James is currently registered with the state of Illinois. James is also registered with the Financial Industry Regulatory Authority (FINRA). Prior to joining Stifel, Nicolaus & Company, Inc. James was registered with RYAN BECK & CO., GRUNTAL & CO., L.L.C., BEAR, STEARNS & CO. INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James's areas of specialization include retirement planning, college savings, and wealth management.
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
04/24/2007 - Present
Stifel, Nicolaus & Company, Inc. (CHICAGO IL)
IL
04/29/2002 - 04/24/2007
RYAN BECK & CO. (CHICAGO IL)
NY
11/28/1997 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
12/07/1984 - 12/10/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NA
03/23/1983 - 12/07/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 09/08/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/31/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/22/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1987
Series 3 - National Commodity Futures Examination
BC
Issued 10/30/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 03/19/1983
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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