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James Douglas Harris

Stifel, Nicolaus & Company, Incorporated

Birmingham, AL

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Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-10-03
AL RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2019-10-03
  • AL RA
    APPROVED
    Since 2015-07-07

Branch Locations

800 Shades Creek Parkway Suites 750 & 775, Birmingham, AL 35209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Stifel, Nicolaus & Company, Incorporated St. Louis MO 07/2015 Present
Previous Registrations
  • 2009-05-28 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2003-02-12 → 2004-06-21
    Morgan Keegan & Company, Llc
    Birmingham, AL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-09-26
S65 Uniform Investment Adviser Law Examination 1992-06-24
  • S63 Uniform Securities Agent State Law Examination
    2008-09-26
  • S65 Uniform Investment Adviser Law Examination
    1992-06-24

View on SEC IAPD

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