Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lebaron is a financial advisor with over 30 years of experience in the industry. He joined Stifel, Nicolaus & Company, Inc. in November 2016. Previously, James worked for Janney Montgomery Scott LLC, Oppenheimer & Co. Inc., Stanford Group Company, UBS Financial Services Inc., Legg Mason Wood Walker, Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James specializes in providing financial planning and portfolio management services to individuals, businesses, and pooled investment vehicles. He is registered to provide investment advisory services in Florida, Texas, and other states.
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
FL
11/14/2016 - Present
Stifel, Nicolaus & Company, Inc. (SARASOTA FL)
FL
10/19/2012 - 12/09/2016
JANNEY MONTGOMERY SCOTT LLC (SARASOTA FL)
FL
03/20/2009 - 11/13/2012
OPPENHEIMER & CO. INC. (SARASOTA FL)
FL
08/20/2004 - 03/16/2009
STANFORD GROUP COMPANY (LONGBOAT KEY FL)
NJ
10/20/2000 - 09/13/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MD
11/22/1994 - 10/30/2000
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
02/19/1993 - 09/30/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 02/09/1993
Series 7 - General Securities 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
Not sure James Lebaron is the right advisor for you? Invested Better is here to help.
