JW
James H. Williams
STIFEL, NICOLAUS & COMPANY
Franklin, PA 16323
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CRD#: 1073052
JW
Professional summary
James Howard Williams JR, AIF®, who also goes by James Howard (jr) Williams, Jim Williams, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Franklin, Pennsylvania.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. James has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Howard (jr) Williams | Jim Williams
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Franklin Area Chamber of Commerce; 1255 Liberty St, Franklin, PA 16323; Local business development; Chairman of the annual fall festival committee; Lead group of volunteers on the weekend festival; 01/01/2021; 50 Hours per Year; During Securities Trading Hours; Not Investment-Related. 2. Northwest Hospital Foundation; 100 Fairfield Dr, Seneca, PA 16346; The Foundation provides support for hospital and health care needs which are above and beyond what the UPMC system provides; Secretary of the Board of Directors; Attesting to meeting notes/minutes. Signing as Board secretary using the corporate seal on copies of motions if required. Attending Executive committee meetings twice per annum; 01/03/2022; 4 Hours per Quarter; During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view James Howard Williams JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Howard Williams JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 10, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1284 Liberty Street Pob 1060, Franklin, PA 16323RIA
BD
CRD#: 793
Franklin, PA
Current
March 10, 2009 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1284 Liberty Street Pob 1060, Franklin, PA 16323RIA
BD
CRD#: 793
Franklin, PA
Past
May 21, 2007 - March 10, 2009
BUTLER, WICK & CO., INC.
RIA
CRD#: 120
FRANKLIN, PA
Past
December 21, 1982 - March 10, 2009
BUTLER, WICK & CO., INC.
BD
CRD#: 120
FRANKLIN, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/10/2009)
RR
Arkansas(9/6/2019)
RR
California(3/10/2009)
RR
Colorado(2/22/2013)
RR
Florida(3/10/2009)
RR
Georgia(3/10/2009)
RR
Hawaii(10/6/2010)
RR
Illinois(11/25/2014)
RR
Indiana(10/1/2024)
RR
Kentucky(11/22/2016)
RR
Louisiana(7/9/2019)
RR
Maine(10/1/2024)
RR
Maryland(5/11/2021)
RR
Massachusetts(6/24/2021)
RR
Michigan(3/10/2009)
RR
Minnesota(7/20/2021)
RR
Mississippi(1/3/2020)
RR
Missouri(10/1/2024)
RR
Nebraska(12/17/2021)
RR
New Hampshire(4/1/2014)
RR
New Jersey(1/23/2013)
RR
New Mexico(1/3/2025)
RR
New York(3/10/2009)
RR
North Carolina(3/10/2009)
RR
Ohio(3/10/2009)
RR
Oklahoma(10/1/2024)
RR
Oregon(3/10/2009)
RR
Pennsylvania(3/10/2009)
IAR
Pennsylvania(3/10/2009)
RR
Rhode Island(12/23/2024)
RR
South Carolina(3/10/2009)
RR
Tennessee(4/19/2011)
RR
Texas(3/10/2009)
IAR
Texas(3/10/2009)
RR
Utah(3/10/2009)
RR
Vermont(10/1/2024)
RR
Virginia(6/2/2010)
RR
West Virginia(7/14/2017)
RR
Wisconsin(3/10/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 2/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
