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Nigel Ronald James

Joseph Stone Capital LLC

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About Nigel Ronald James

Nigel Ronald James is a financial professional with over 20 years of experience in the financial services industry. Nigel is currently registered with Joseph Stone Capital LLC. Prior to joining Joseph Stone Capital LLC, Nigel held positions at VCS Venture Securities, First Midwest Securities, Inc., J.P. Turner & Company, L.L.C., Brundyn Securities Inc., LH Ross & Company, Inc., and Harrison Securities, Inc. Nigel is licensed in several states including Alabama, Alaska, Arizona, California, Colorado, Connecticut, Florida, Georgia, Indiana, Iowa, Kansas, Louisiana, Massachusetts, Michigan, Minnesota, Mississippi, Montana, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Texas, and Virginia.

Firm Information

Nigel James is currently registered with Joseph Stone Capital LLC. Joseph Stone Capital LLC is a Limited Liability Company formed in 2011. The firm is registered to provide advisory services in all 50 U.S. states and Puerto Rico, as well as with the SEC. Joseph Stone Capital LLC has been the subject of 4 regulatory events and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

21

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Nigel James’s Registration & Firm History

NY

02/26/2013 - Present

Joseph Stone Capital LLC (GARDEN CITY NY)

NY

09/10/2021 - 01/02/2024

VCS VENTURE SECURITIES (GARDEN CITY NY)

NY

10/17/2008 - 02/26/2013

FIRST MIDWEST SECURITIES, INC. (GARDEN CITY NY)

NY

10/28/2005 - 10/17/2008

J.P. TURNER & COMPANY, L.L.C. (WESTBURY NY)

TX

10/11/2004 - 10/31/2005

BRUNDYN SECURITIES INC. (ARLINGTON TX)

FL

04/30/2004 - 12/17/2004

LH ROSS & COMPANY, INC. (BOCA RATON FL)

NY

01/25/2002 - 04/27/2004

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

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Licenses & Designations

BC

Issued 02/02/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/2002

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 7 public disclosures for Nigel Ronald James. Review regulatory record here.
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