Best Investors Account Sign in

James J Ferrie

Stifel, Nicolaus & Company, Incorporated

Succasunna, NJ

Claim This Profile
Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-08-31
NJ RA APPROVED 2017-07-07
  • TX RA
    APPROVED_RES
    Since 2023-08-31
  • NJ RA
    APPROVED
    Since 2017-07-07

Branch Locations

15 Commerce Blvd. 275 Rt 10 East, Suite #209, Succasunna, NJ 07876 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Sparta NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Sparta NJ 11/2016 07/2017
Stifel Nicolaus & Co Inc Roxbury NY 07/2017 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Sparta, NJ
  • 11/2016 → 07/2017
    Wells Fargo Clearing Services, Llc
    Sparta, NJ
  • 07/2017 → Present
    Stifel Nicolaus & Co Inc
    Roxbury, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-11
S63 Uniform Securities Agent State Law Examination 1997-05-29
  • S65 Uniform Investment Adviser Law Examination
    1999-08-11
  • S63 Uniform Securities Agent State Law Examination
    1997-05-29
Other Names
  • James Ferrie

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OMEGA CAPITAL MANAGEMENT, LLC
CREATIVE FINANCIAL DESIGNS, INC.
EDWARD JONES
J.P. MORGAN SECURITIES LLC
LPL ENTERPRISE, LLC
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

Rouba Staufenberger
TED MICHAEL DAVIS
WILLIAM CLARKE MOYNIHAN
HAROLD PERRY USZEROWICZ
MICHAEL JOSEPH STAUFENBERGER
MARTIN BENNO WELZMULLER
MICHAEL CHRISTOPHER STAUFENBERGER
SCOTT ANDREW BUCHANAN

Other Offices

LPL FINANCIAL LLC · SUCCASUNNA, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SUCCASUNNA, NJ
LPL FINANCIAL LLC · FLANDERS, NJ
OMEGA CAPITAL MANAGEMENT, LLC · FLANDERS, NJ
CREATIVE FINANCIAL DESIGNS, INC. · SUCCASSUNNA, NJ
CREATIVE FINANCIAL DESIGNS, INC. · Succasunna, NJ
EDWARD JONES · SUCCASUNNA, NJ
J.P. MORGAN SECURITIES LLC · LEDGEWOOD, NJ

More in Succasunna, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor