James Bernard
James Bernard is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in New York, NY, 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
1095 Avenue of the Americas, 3rd & 4th Floors, New York, NY, 10036
Get directionsHistory
Regulatory History (5)
Customer Dispute
May 2022Financial
March 2017Customer Dispute
May 2009Customer Dispute
June 2002Employment Separation After Allegations
June 2001Other 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
Stifel, Nicolaus & Company, IncorporatedBroker
Previous Registrations
Ryan Beck & CO.Broker
Gruntal & CO., L.L.C.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.