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James Bernard

Stifel, Nicolaus & Company, Incorporated
31 Years of Experience
New York, NY
5 DisclosuresBroker
View SEC Summary
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James Bernard is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, with 31 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Investment Management, and 2 more. Their firm serves 236,191 clients with $200B in assets under management.

Stifel, Nicolaus & Company, Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3355 advisors
Number of Clients
236,191 clients
Average Client Portfolio
$836K average
Assets Under Management
$197.5B

Fee Structure

Minimum Investment:$50K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.00%

Maximum annual fee rate for the Summit Program is up to 1.00% of assets under management. Other programs have separate fee schedules detailed in respective program brochures. Fees are generally negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036

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History

Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2022
Denied
Financial
March 2017
Final
Customer Dispute
May 2009
Denied
Customer Dispute
June 2002
Award / Judgment
Employment Separation After Allegations
June 2001
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James is the treasurer of InfraGard, a member of VigiTrust Global Advisory Board, and holds multiple positions within the New York Metro InfraGard organizations. These roles involve budgeting, financial reporting, event development, sector collaboration, and supporting the mission of these organizations, taking up a few hours per week to about 10-20% of his time.

Employment History
Current Registrations
Stifel, Nicolaus & Company, Incorporated
May 2021 - Present · 5 yrs 5 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
Ryan Beck & CO.Broker
April 2002 - August 2007 · 5 yrs 4 mos
Gruntal & CO., L.L.C.Broker
August 2001 - May 2002 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1994 - July 2001 · 6 yrs 8 mos
State Registrations28 states
AZCACOCTDCFLGAHIILINKSKYMAMDMENCNJNVNYPASCTNTXUTVAVTWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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