Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Vincent Duffy is a financial advisor at Stifel, Nicolaus & Company, Inc. James has been in the industry since February 13, 2002, and has a Series 63, SIE, Series 87, Series 86, and Series 7 license. Duffy's areas of expertise include securities, mutual funds, variable life and variable annuities, fixed insurance, and options. Previously, James Vincent Duffy worked at THOMAS WEISEL PARTNERS LLC and BANC OF AMERICA SECURITIES LLC.
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
CO
07/10/2010 - Present
Stifel, Nicolaus & Company, Inc. (DENVER CO)
CO
04/17/2002 - 07/19/2010
THOMAS WEISEL PARTNERS LLC (DENVER CO)
NY
07/05/2001 - 09/05/2001
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 07/12/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/25/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 07/02/2001
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
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