James Harris
James Harris is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Birmingham, AL, with 29 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
800 Shades Creek Parkway, Suites 750 & 775, Birmingham, AL, 35209
Get directionsHistory
Regulatory History (3)
Customer Dispute
June 2011Customer Dispute
April 2010Customer Dispute
November 2009Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Sterne Agee Asset Management, INC.
Sterne, Agee & Leach, INC.Broker
Sunamerica Capital Services, INC.Broker
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
UBS Painewebber INC.Broker
J.C. Bradford & CO.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations13 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.