James Franklin Bernard

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

• 08/2007 → Present
  Stifel, Nicolaus & Company, Incorporated
  New York, NY

Other Businesses

1. InfraGard; PMB #1470, 14th Floor 30 Broad Street, New York, NY 10004; Organization sponsored by FBI for information sharing; Treasurer; Budgeting, financial reporting to Board, and expense management; 06/20/2019; 6 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 2. VigiTrust Global Advisory Board; 261 Madison Avenue 9th Floor, New York, NY 10016; Board focuses on how data governance, information security, and systems security; Member; Exchange ideas about the direction in which the industry is moving; 01/31/2022; 2 Hours per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. New York Metro InfraGard; 30 Board Street 14th Floor PMB #1470, New York, NY 10004; Proactive collaboration between FBI and private sector; Financial Services Sector Deputy Chief; Event development and sector collaboration; 01/31/2022; 6 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. NY Metro InfraGard Members Alliance; 30 Broad Street # 1470, New York, NY 10004; Director - Board of Directors; Attend board meetings, serve on committees, organize events, establish budgets, vote; 01/02/2023; 6 Hours per Month; Not during securities trading hours; Not Investment-Related. 5. New York Metro Infragard Members Alliance; 555 5th Avenue 14th Floor New York NY 10017; InfraGard is a proactive collaboration between the FBI and the private sector to protect our nation's Critical infrastructure; Vice President; supporting the mission and standing in for the President as required; 01/16/2025; 15 hrs/month; Not during securities trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-01-20
• S63 Uniform Securities Agent State Law Examination
  1995-05-03

Other Names

• James F Bernard