JM
James P. Manos
STIFEL, NICOLAUS & COMPANY
Dublin, OH 43017
Some features on this profile are disabled
CRD#: 2197058
JM
Professional summary
James Peter Manos, who also goes by Jim Manos, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Dublin, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 62 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Manos
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. MANOS PROPERTIES 9 N SANDUSKY ST., LLC; 5973 MACEWEN CT DUBLIN OH 43017; RENTAL PROPERTY; OWNER; RENT COLLECTION; AFFILIATION STARTED 04/26/2016; 1 HOUR PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 2. MANOS PROPERTIES 34 S. SANDUSKY ST, LLC; 5973 MACEWEN CT DUBLIN OH 43017; RENTAL PROPERTIES; OWNER; RENT COLLECTION; AFFILIATION STARTED 04/26/2016; 1 HOUR PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 3. CROMDALE HOLDING, LLC; 5973 MACEWEN CT DUBLIN OH 43017; RENTAL PROPERTY; OWNER; COLLECT RENT; AFFILIATION STARTED 04/26/2016; 1 HOUR PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 4. BUCKEYE LAKE LLC; 5973 MACEWEN CT DUBLIN OH 43017; STORAGE AND CARWASH; OWNER; COLLECTS RENT; AFFILIATION STARTED 04/26/2016; 1 HOUR PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 5. MR HOLDINGS OF DUBLIN, LLC; 5973 MACEWEN CT DUBLIN OH 43017; REAL ESTATE STORAGE; OWNER; COLLECTS RENT; AFFILIATION STARTED 04/26/2016; 1 HOUR PER DAY; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 6. CHARING ROAD, LLC; 5973 MACEWEN CT DUBLIN OH 43017; REAL ESTATE FOR RENT; REAL ESTATE RENTAL PROPERTY; COLLECTING RENT; AFFILIATION STARTED 04/26/2016; 1 HOUR PER DAY; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. 7. Bucyrus Storage Complex LLC., 1850 Marion Rd, Bucyrus, OH 44820; Storage Units; Owner; Collect rents and maintain facility; 5/1/23; 5 hr/mo; Not During Securities Trading Hours; Not Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view James Peter Manos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Peter Manos'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®
NoneExperience
Current
April 26, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6636 Longshore Street Suite 280, Dublin, OH 43017RIA
BD
CRD#: 793
Dublin, OH
Current
April 27, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6636 Longshore Street Suite 280, Dublin, OH 43017RIA
BD
CRD#: 793
Dublin, OH
Past
February 9, 2007 - April 26, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
DUBLIN, OH
Past
February 9, 2007 - April 26, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DUBLIN, OH
Past
November 2, 2006 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
RIA
CRD#: 566
DUBLIN, OH
Past
January 16, 1998 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
DUBLIN, OH
Past
May 3, 1994 - March 2, 1998
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
September 26, 1992 - May 10, 1994
TEMPO SECURITIES CORPORATION
BD
CRD#: 18175
CLEVELAND, OH
Past
January 3, 1992 - January 27, 1992
OMNI FINANCIAL SECURITIES, INC.
BD
CRD#: 29320
COLUMBUS, OH
Past
November 29, 1991 - January 17, 1992
OMNI CAPITAL MARKETS, INCORPORATED
BD
CRD#: 23583
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
Alabama(7/8/2025)
RR
Arizona(4/27/2016)
RR
California(4/27/2016)
RR
Florida(8/5/2016)
RR
Illinois(9/29/2022)
RR
Indiana(4/27/2016)
RR
Kentucky(4/27/2016)
RR
Missouri(11/8/2016)
RR
North Carolina(10/6/2022)
RR
Ohio(4/27/2016)
IAR
Ohio(4/27/2016)
RR
South Carolina(7/12/2022)
IAR
Texas(4/26/2016)
RR
Texas(4/27/2016)
RR
Virginia(4/27/2016)
RR
Wisconsin(4/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 11/26/1991
Corporate Securities Limited Representative ExaminationSRO Registrations
RR
Cboe BZX Exchange, Inc.
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.
