JK
James E. Klingler
STIFEL, NICOLAUS & COMPANY
Montgomery, AL 36117
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CRD#: 271890
JK
Professional summary
James Edward Klingler is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Montgomery, Alabama.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. James has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. WILLOW POND FOUNDATION; 240 WILLOW POND FITZPATRICK AL 36029; CHARITABLE CONTRIBUTIONS; PRESIDENT; MAKES CHARITABLE CONTRIBUTIONS; AFFILIATION STARTED 07/22/2010; 2 HOURS PER MONTH; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED.
CRS (Client Relationship Summary) - RIA
Click below to view James Edward Klingler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edward Klingler'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
May 25, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117RIA
BD
CRD#: 793
Montgomery, AL
Current
May 25, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2660 Eastchase Lane Lakeview Center, Suite 400, Montgomery, AL 36117RIA
BD
CRD#: 793
Montgomery, AL
Past
June 1, 2009 - June 22, 2010
MORGAN STANLEY
RIA
CRD#: 149777
MONTGOMERY, AL
Past
June 1, 2009 - June 22, 2010
MORGAN STANLEY
BD
CRD#: 149777
MONTGOMERY, AL
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MONTGOMERY, AL
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MONTGOMERY, AL
Past
January 25, 1977 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
February 25, 1972 - February 21, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
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(5/25/2010)
IAR
Alabama(5/25/2010)
RR
Colorado(5/25/2010)
RR
District of Columbia(12/23/2015)
RR
Florida(5/25/2010)
RR
Georgia(5/25/2010)
RR
Idaho(2/9/2018)
RR
Illinois(3/16/2017)
RR
Iowa(9/1/2020)
RR
Louisiana(5/25/2010)
RR
Michigan(12/10/2025)
RR
Missouri(1/2/2018)
RR
Nevada(6/27/2024)
RR
New Mexico(1/13/2025)
RR
New York(1/4/2018)
RR
North Carolina(5/25/2010)
RR
Oklahoma(5/25/2010)
RR
South Carolina(7/8/2010)
RR
Tennessee(5/25/2010)
RR
Texas(12/19/2017)
IAR
Texas(7/30/2019)
RR
Virginia(5/25/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/22/1972
Registered 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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Montgomery, AL 36117TRUST BUT VERIFY
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