JJ
James Jordan
STIFEL, NICOLAUS & COMPANY
COLUMBUS, GA 31901
Some features on this profile are disabled
CRD#: 7788214
JJ
Professional summary
James Jordan is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Columbus, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. James has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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. Highland Community Church; 3408 5th Ave Columbus, GA 31904; Non profit church; Finance Committee Member; With other finance committee members we create the annual budget, compare monthly budgeted income and expenses to actual, and review/approve unexpected expenses.; 11/01/2017; 1 hr/month; Not during securities trading hours; Not Investment-Related 2. GJJ Real Estate LLC; 1819 Preston Drive Columbus, GA 31906; Formed to purchase real estate - no activity in the business since formation.; Member; This LLC was formed to purchase real estate, but no activity has occurred since formation. I resigned as registered agent with the secretary of state today.; 02/22/2023; 0 hrs/month; Not during securities trading hours; Investment-Related 3. Jordan Brothers Enterprises LLC; 1819 Preston Drive Columbus, GA 31906; None - no activity since formation; Member; This was an LLC formed in 2020 with the intent to purchase local real estate. There has been no activity within the business and will be dissolved this year.; 12/17/2020; 0 hrs/year; Not during securities trading hours; Investment-Related 4. Columbus, Georgia Consolidated Government - Community Development Advisory Council; 100 10th Street Columbus GA 31901; The Community Development Advisory Council provides an advisory function to the City Council of The Consolidated Government; Board member; provide a vehicle for communicating community needs between the citizens, Community and Economic Development Staff, other Departments and the City Council of Columbus, Georgia; 01/23/2024; 2 hrs/quarter; During securities trading hours; Not Investment-Related 5. Columbus Consolidated Government Civic Center Advisory Board; 100 10th Street Columbus, GA 31901; The Civic Center Advisory Board was created to advise on the operations of the Columbus Civic Center; Board Member; Elected by a city councilor to advise the Civic Center leadership on how to best operate the Columbus Civic Center; 11/20/2025; 1hr/qtr; During securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view James Jordan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Jordan'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 9, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 233 12th Street, Suite 100-a, Columbus, GA 31901RIA
BD
CRD#: 793
COLUMBUS, GA
Current
September 8, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 233 12th Street, Suite 100-a, Columbus, GA 31901RIA
BD
CRD#: 793
COLUMBUS, GA
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(10/9/2023)
RR
California(10/9/2023)
RR
Florida(10/9/2023)
RR
Georgia(10/9/2023)
IAR
Georgia(10/11/2023)
RR
Illinois(2/14/2025)
RR
Kansas(10/9/2023)
RR
Maryland(11/25/2024)
RR
Massachusetts(7/25/2025)
RR
Minnesota(12/3/2024)
RR
Mississippi(10/9/2023)
RR
Missouri(10/9/2023)
RR
North Carolina(10/10/2023)
RR
Ohio(2/6/2025)
RR
South Carolina(2/12/2025)
RR
South Dakota(2/12/2025)
RR
Tennessee(10/9/2023)
IAR
Texas(10/9/2023)
RR
Texas(3/14/2025)
RR
Virginia(4/24/2025)
RR
Washington(11/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/8/2023
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 793Columbus, GA 31901TRUST BUT VERIFY
Monitor James Jordan
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
