James Williams
James Williams is a registered investment advisor at Stifel, Nicolaus & Company, Incorporated, based in Mobile, AL, with 30 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
3600 Springhill Business Park, Suite 1000, Mobile, AL, 36608
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
James is the President/Owner and timber manager of JAW Family Holdings LLC, a timberland ownership for recreational use, dedicating a few hours per week. He also serves on investment committees for the Archdiocese of Mobile and is the treasurer for Ft. Bibb Hunting Club, spending minimal time on these activities.
Employment History
Current Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Previous Registrations
RBC Capital Markets, LLCBroker
RBC Capital Markets, LLC
Amsouth Investment Management Company LLC
Amsouth Investment Services, INC.
Amsouth Investment Services, INC.Broker
Janney Montgomery Scott LLCBroker
Prudential Securities IncorporatedBroker
PFS Investments INC.Broker
State Registrations22 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.