Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Richens is a financial advisor with Stifel, Nicolaus & Company, Inc. working out of their Los Angeles office. James is also a registered representative with FINRA and holds licenses in California. James has been working in the financial industry since May 2012. James has a strong background in the securities industry and has earned the Series 7, Series 52, and Series 63 licenses. James is committed to helping clients reach 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
CA
06/05/2015 - Present
Stifel, Nicolaus & Company, Inc. (LOS ANGELES CA)
NY
05/28/2012 - 06/05/2015
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
BC
Issued 06/15/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2015
Series 7 - General Securities Representative Examination
BC
Issued 05/25/2012
Series 52 - Municipal 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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