JS
James L. Springer
STIFEL, NICOLAUS & COMPANY
SARASOTA, FL 34236
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CRD#: 2535792
JS
Professional summary
James Lebaron Springer, CIMA®, CPWA®, who also goes by James Lebaron Springer Jr, 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 1994. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Lebaron Springer Jr
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. JM Land Ventures; 5888 Houston Ln Crestview FL 32539; Spec home construction; Manager/ Member; Lend money to brother in law for home construction; affiliation started 01/03/2011; 1 hour per year; not during securities trading hours; not investment-related. 2. Springer Ventures LLC; 8734 Monterey Loop, Bradenton, FL, 34212; LLC Partner-Co-Owner of Anytime Fitness through Springer Ventures LLC; 4/13/2018; 0.00 Hour(s) Per Day - not during securities trading hours; Not-investment related 3. Sigma Chi Area Alumni Group;138 Arcadia FL 34266;Alumni Fraternity Group; President; organize social events; 6/3/19;12 hr/yr; not during securities trading hours; not investment related. 4. Gamma Theta Foundation, Inc; 600 Highland Avenue, Windemere, FL 34786; Scholarship fund for the Sigma Chi Fraternity; Director; Facilitate the direction of funds; 02/10/2021; 5 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 5. The Midnight Pass Society II Inc; 5355 McIntosh Rd, Sarasota, FL 34233; An org dedicated to re-opening the Midnight Pass to the Gulf of Mexico from Little Sarasota Bay; Board Member; Community organization; 07/06/2022; 2 Hours per Month; Not during securities trading hours; Not Investment-Related. 6. Gamma Theta 2020 LLC, 100 South Eola Dr - Unit 1506, Orlando, FL 32801; Construction and Scholarship for University of Florida Sigma Chi Fraternity; Director; To facilitate the direction of funds to be used for construction of UF Sigma Chi Fraternity House and Scholarship; 8/27/19; 5 hr/Qtr; Not During Securities Trading Hours; Not Investment Related. 7. Point of Rocks Legacy LLC; 6920 Point of Rocks Sarasota, FL 34242; Investment Property; Managing Officer; Property Oversight; 6/12/25; 1hr/mth; Not during securities trading hours; Investment related
CRS (Client Relationship Summary) - RIA
Click below to view James Lebaron Springer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Lebaron Springer'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®
CPWA®
Start date: 2011-08-19
Expire date: 2024-11-30
Experience
Current
August 11, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236RIA
BD
CRD#: 793
SARASOTA, FL
Current
August 12, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2 North Tamiami Trail, Sarasota, FL 34236RIA
BD
CRD#: 793
SARASOTA, FL
Past
February 21, 2002 - August 14, 2014
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SARASOTA, FL
Past
February 19, 2002 - August 14, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SARASOTA, FL
Past
October 20, 1998 - February 21, 2002
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
COLUMBUS, OH
Past
April 1, 1998 - October 23, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
August 30, 1997 - April 1, 1998
BARNETT INVESTMENTS, INC.
BD
CRD#: 14897
JACKSONVILLE, FL
Past
October 4, 1994 - August 21, 1997
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
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
California(8/13/2014)
RR
Colorado(9/4/2014)
RR
Connecticut(9/8/2014)
RR
District of Columbia(8/12/2014)
IAR
Florida(8/12/2014)
RR
Florida(8/13/2014)
RR
Georgia(8/12/2014)
RR
Illinois(10/3/2014)
RR
Indiana(5/16/2016)
RR
Kentucky(9/11/2014)
RR
Louisiana(8/31/2016)
RR
Maine(10/1/2014)
RR
Maryland(8/12/2014)
RR
Michigan(8/12/2014)
RR
Minnesota(8/12/2014)
RR
Nevada(8/18/2014)
RR
New Jersey(8/12/2014)
RR
New Mexico(8/12/2014)
RR
New York(8/12/2014)
RR
North Carolina(8/12/2014)
RR
Ohio(11/29/2022)
RR
Pennsylvania(8/12/2014)
RR
Rhode Island(8/12/2014)
RR
South Carolina(8/21/2014)
RR
Tennessee(12/17/2024)
IAR
Texas(8/11/2014)
RR
Texas(8/12/2014)
RR
Wisconsin(1/22/2021)
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
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.
