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James Cole Abbott

Stifel, Nicolaus & Company, Incorporated

Mcallen, TX

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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 2020-01-30
  • TX RA
    APPROVED
    Since 2020-01-30

Branch Locations

4300 N. 10Th Street Suite A, Mcallen, TX 78504 • 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
Bank Of America, N.A. Mcallen TX 02/2011 01/2020
Stifel Nicolaus & Co Inc Mcallen TX 01/2020 Present
  • 02/2011 → 01/2020
    Bank Of America, N.A.
    Mcallen, TX
  • 01/2020 → Present
    Stifel Nicolaus & Co Inc
    Mcallen, TX
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-18
S63 Uniform Securities Agent State Law Examination 1999-08-10
  • S65 Uniform Investment Adviser Law Examination
    1999-08-18
  • S63 Uniform Securities Agent State Law Examination
    1999-08-10
Other Names
  • James Abbott
  • Cole Abbott
  • James Cole Abbott
  • James Cole Abbott

View on SEC IAPD

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