JC
James D. Curbow
STIFEL, NICOLAUS & COMPANY | Financial Advisor
Gainesville, FL 32606
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CRD#: 2774398
JC
Professional summary
James Dustin Curbow, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Gainesville, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 52 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Trust & estate planning
Financial planning
Insurance
Philanthropic services
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
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. Oak Hall School; 1700 SW 75th St, Gainesville, FL 32607; Education / K-12 Private School; Vice President Athletic Booster Board; Serve the President and Promote Athletics within school community and serve our student athletes; 08/01/2023; 4 Hours per Month; Not during securities trading hours; Not investment-related 2. Rental Property / Self Fontainbleau Terrace; 14401 Front Beach Rd Panama City Beach, FL 32413; Rental Property / Investment Real Estate; invest with my family member Tripp Carter (brother in law); We will buy rental property and use a rental company to manage property; 11/04/2025; 1hr/mth; Not during securities trading hours; Investment related
CRS (Client Relationship Summary) - RIA
Click below to view James Dustin Curbow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Dustin Curbow'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®
CFP®
Start date: 2019
Experience
Current
December 12, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2770 Nw 43rd Street Suite B, Gainesville, FL 32606RIA
BD
CRD#: 793
Gainesville, FL
Current
December 12, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 2770 Nw 43rd Street Suite B, Gainesville, FL 32606RIA
BD
CRD#: 793
Gainesville, FL
Past
June 1, 2009 - December 16, 2022
MORGAN STANLEY
RIA
CRD#: 149777
Tampa, FL
Past
June 1, 2009 - December 16, 2022
MORGAN STANLEY
BD
CRD#: 149777
Tampa, FL
Past
February 22, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
GAINESVILLE, FL
Past
January 20, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
GAINESVILLE, FL
Past
March 3, 2004 - January 19, 2005
KOSS-OLINGER CONSULTING, LLC.
RIA
CRD#: 111855
GAINESVILLE, FL
Past
March 24, 2003 - January 26, 2005
VALMARK SECURITIES, INC.
BD
CRD#: 31243
AKRON, OH
Past
November 8, 1999 - March 18, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GAINESVILLE, FL
Past
November 4, 1999 - March 18, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 26, 1996 - February 24, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Colorado(12/12/2022)
RR
Florida(12/13/2022)
IAR
Florida(12/13/2022)
RR
Georgia(12/12/2022)
RR
Louisiana(1/2/2025)
RR
Michigan(12/12/2022)
RR
New York(12/12/2022)
RR
North Carolina(12/12/2022)
RR
Ohio(12/12/2022)
RR
Pennsylvania(12/12/2022)
RR
South Carolina(12/12/2022)
IAR
Texas(12/12/2022)
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Financial AdvisorCRD#: 793Gainesville, FL 32606TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
