James Lebaron
James Lebaron is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Sarasota, FL, with 32 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
2 North Tamiami Trail, Sarasota, FL, 34236
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2019Customer Dispute
June 2012Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Stanford Group Company
Stanford Group CompanyBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Legg Mason Wood Walker, IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations31 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.