JL
James R. Leonard
STIFEL, NICOLAUS & COMPANY
OMAHA, NE 68144
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CRD#: 306838
JL
Professional summary
James Robert Leonard is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Omaha, Nebraska.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. James has worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, PC, Series 000 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Robert Leonard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Robert Leonard'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
October 22, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 13030 Pierce Street Suite 201, Omaha, NE 68144RIA
BD
CRD#: 793
OMAHA, NE
Current
October 18, 2010 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 13030 Pierce Street Suite 201, Omaha, NE 68144RIA
BD
CRD#: 793
OMAHA, NE
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OMAHA, NE
Past
January 1, 2008 - October 19, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OMAHA, NE
Past
September 16, 2005 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
OMAHA, NE
Past
May 6, 1991 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
OMAHA, NE
Past
September 15, 1989 - May 7, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
May 21, 1984 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
June 2, 1980 - May 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
December 21, 1976 - June 30, 1980
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
November 14, 1974 - January 30, 1977
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
May 16, 1974 - October 21, 1974
B.C. CHRISTOPHER SECURITIES CO.
BD
CRD#: 60
Past
June 26, 1973 - July 17, 1974
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
June 26, 1973 - July 17, 1974
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
June 26, 1973 - July 17, 1974
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
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
Arizona(10/18/2010)
RR
California(10/18/2010)
RR
Colorado(10/18/2010)
RR
Florida(1/17/2023)
RR
Illinois(7/25/2017)
RR
Iowa(10/18/2010)
RR
Kansas(1/3/2013)
RR
Maryland(1/3/2013)
RR
Missouri(10/18/2010)
RR
Nebraska(10/18/2010)
IAR
Nebraska(10/22/2010)
RR
Ohio(5/11/2021)
RR
Oklahoma(10/18/2010)
RR
South Carolina(4/16/2014)
RR
South Dakota(10/18/2010)
RR
Tennessee(4/13/2012)
RR
Texas(10/18/2010)
IAR
Texas(4/10/2014)
RR
Virgin Islands(8/26/2020)
RR
Washington(10/9/2017)
Exams
State Security Law Exam
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
PC
Date: 6/2/1980
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 000
Date: 6/13/1974
General Securities Principal ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 6/20/1973
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)
PREMIUM
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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 | 180 |
| Civil Event | 2 |
| Arbitration | 61 |
| 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#: 793Omaha, NE 68144TRUST BUT VERIFY
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