James A Fitzgerald

Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → 03/2018
  D.A. Davidson & Co.
  Upper Saddle River, NJ
• 03/2018 → 08/2022
  Hudson Valley Investment Advisors, Inc.
  Goshen, NY
• 08/2022 → 05/2024
  Wells Fargo Advisors Financial Network, Llc
  New City, NY
• 05/2024 → Present
  Stifel, Nicolaus & Company, Incorporated
  Goshen, NY

Previous Registrations

• 2022-10-25 → 2024-06-04
  Wells Fargo Advisors Financial Network, Llc
  New City, NY
• 2021-05-31 → 2023-01-12
  Orange Investment Advisors, Inc.
  Goshen, NY

Other Businesses

1. River Shannon LLC; 3 Weathervane Way, Warwick, NY 10990; Real Estate Holdings; Managing Member; 12/19/23; 3 hr/mo; Not During Securities Trading Hours; Not Investment Related. 2. Better Homes and Gardens Green Team NY Realty; 7 Main Street, Warwick, NY 10990; I have my real estate license and would like to continue to keep it active.; 03/01/2021; 0 hrs/month; Not During Securities Trading Hours; Investment Related.

Exams

• S66 Uniform Combined State Law Examination
  2022-12-10
• S63 Uniform Securities Agent State Law Examination
  2017-04-11

Other Names

• James Fitzgerald
• James A Fitzgerald