Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richens is a financial advisor with Stifel, Nicolaus & Company, Inc. James has been in the financial services industry since 1989 and specializes in securities, fixed income, mutual funds, variable annuities, and retirement planning. James has a strong track record of success in helping 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.
1
2
WA
06/05/2015 - Present
Stifel, Nicolaus & Company, Inc. (TACOMA WA)
CA
10/07/2008 - 06/05/2015
STERNE, AGEE & LEACH, INC. (NEWPORT BEACH CA)
CA
09/13/1996 - 09/09/2008
COUNTRYWIDE SECURITIES CORPORATION (CALABASAS CA)
MO
08/19/1996 - 09/09/1996
FIRST CLEARING CORPORATION (ST. LOUIS MO)
NA
07/10/1992 - 08/20/1996
MERIDIAN SECURITIES, INC.
NY
08/03/1989 - 11/06/1990
J.C. BRADFORD & CO. (NEW YORK NY)
NA
04/29/1987 - 05/17/1989
UNION PLANTERS INVESTMENT BANKERS GROUP, INC.
BC
Issued 06/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/01/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
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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