JL
James S. Lebaron
STIFEL, NICOLAUS & COMPANY
SARASOTA, FL 34236
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CRD#: 2308025
JL
Professional summary
James Sean Lebaron, who also goes by James S Lebaron, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Sarasota, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James S Lebaron
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. Country Club Shores Civic Association; P.O. BOX 8541 Longboat Key, FL 34228; President of the home owners association; president of the association; preside over board meetings, help enforce HOA rules, main point of contact for homeowners; 04/01/2025; 3hrs/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view James Sean Lebaron's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Sean Lebaron'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
November 14, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236RIA
BD
CRD#: 793
SARASOTA, FL
Current
November 14, 2016 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236RIA
BD
CRD#: 793
SARASOTA, FL
Past
October 19, 2012 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
SARASOTA, FL
Past
October 19, 2012 - December 9, 2016
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
SARASOTA, FL
Past
March 20, 2009 - November 13, 2012
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
SARASOTA, FL
Past
March 20, 2009 - November 13, 2012
OPPENHEIMER & CO. INC.
BD
CRD#: 249
SARASOTA, FL
Past
August 20, 2004 - March 16, 2009
STANFORD GROUP COMPANY
RIA
CRD#: 39285
LONGBOAT KEY, FL
Past
August 20, 2004 - March 16, 2009
STANFORD GROUP COMPANY
BD
CRD#: 39285
LONGBOAT KEY, FL
Past
October 20, 2000 - September 13, 2004
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SARASOTA, FL
Past
October 20, 2000 - September 13, 2004
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 22, 1994 - October 30, 2000
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
February 19, 1993 - September 30, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(11/15/2018)
RR
California(5/24/2018)
RR
Colorado(5/5/2020)
RR
Florida(11/14/2016)
IAR
Florida(11/16/2016)
RR
Georgia(11/14/2016)
RR
Idaho(11/14/2016)
RR
Illinois(12/19/2016)
RR
Indiana(11/19/2018)
RR
Kentucky(1/19/2017)
RR
Maryland(8/27/2019)
RR
Massachusetts(3/22/2017)
RR
Michigan(11/14/2016)
RR
Minnesota(2/8/2023)
RR
Mississippi(11/16/2018)
RR
Nebraska(11/15/2018)
RR
Nevada(11/29/2021)
RR
New Hampshire(3/12/2020)
RR
New Jersey(3/13/2018)
RR
New York(11/14/2016)
RR
North Carolina(12/12/2016)
RR
Ohio(11/14/2016)
RR
Oregon(5/25/2017)
RR
Pennsylvania(11/14/2016)
RR
South Carolina(11/21/2016)
RR
Tennessee(12/15/2016)
RR
Texas(11/14/2016)
IAR
Texas(11/14/2016)
RR
Utah(10/30/2025)
RR
Virginia(11/14/2016)
RR
Washington(3/28/2023)
RR
West Virginia(11/14/2016)
RR
Wisconsin(7/6/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO 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.
