James Springer
James Springer is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Sarasota, FL, with 31 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 (3)
Employment Separation After Allegations
July 2014Customer Dispute
May 2009Customer Dispute
February 2009Other Business Activities
James is involved in several outside business activities, including real estate ventures, a fitness business, fraternity alumni groups, and scholarship funds. These activities require minimal time and are not investment-related.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
The Huntington Investment CompanyBroker
Nationsbanc Investments, INC.Broker
Barnett Investments, INC.Broker
First Union Brokerage Services, INC.Broker
State Registrations26 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.