James Moll
James Moll is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Roseville, CA, with 40 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 222,322 clients with $170B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Clients in the Vision Program pay an annual fee of up to 1.2% of the value of their account. This fee covers account reporting, investment advisory services, compensation to the Financial Advisor, and Pontera. The fee is negotiable. This fee does not include embedded fees and expenses associated with the investment options within the plan.
Location
1420 Rocky Ridge Drive, Roseville, CA, 95661
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2009Other Business Activities
James is involved in several outside activities, including serving on the board of directors for Oroville Hospital, as president of the State Theater Arts Guild, and as a committee member for the City of Oroville Economic Loan Development Committee. He is also an author and the secretary for the Fellows Club of Oroville.
Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Great Western Financial Securities CorporationBroker
Birr, Wilson Securities, INC.Broker
Birr, Wilson & CO., INC.Broker
State Registrations28 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.