James Andrew Williams

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

• 10/2015 → Present
  Stifel Nicolaus & Co Inc
  Mobile, AL

Previous Registrations

• 2007-02-06 → 2015-11-12
  Rbc Capital Markets, Llc
  Charlotte, NC
  Spanish Fort, AL
  Mobile, AL
• 2003-07-10 → 2007-02-08
  Amsouth Investment Management Company Llc
  Birmingham, AL
• 2003-03-03 → 2003-09-29
  Amsouth Investment Services, Inc.
  Mobile, AL
  Fairhope, AL
  Spanish Fort, AL
  Bayou La Batre, AL
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Bay Minette, AL
  Foley, AL
  Gulf Shores, AL
  Daphne, AL
  Semmes, AL
  Mobile, AL
  Mobile, AL
  Saraland, AL
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Mobile, AL
  Amite, LA
  Baton Rouge, LA
  Baton Rouge, LA
  Baton Rouge, LA
  Baton Rouge, LA
  Covington, LA
  Denham Springs, LA
  Gretna, LA
  Gonzales, LA
  Gonzales, LA
  Hammond, LA
  Hammond, LA
  Harahan, LA
  Kenner, LA
  Kenner, LA
  Marrero, LA
  Marrero, LA
  Metairie, LA
  New Orleans, LA
  Ponchatoula, LA
  Prairieville, LA
  Walker, LA
  Westwego, LA
  Mobile, AL
  New Orleans, LA
  Orange Beach, AL
  Mobile, AL
  Slidell, LA
  Fairhope, AL
  New Orleans, LA
  Mandeville, LA
  Baton Rouge, LA
  Matairie, LA

Other Businesses

1. JAW Family Holdings LLC; 8101 Pine Run Spanish Fort AL 36527; Timberland ownership for recreational use; President/Owner; Timber manager; 8/5/16; 10.0 hours per month; not during securities trading hours; Investment-Related. 2. Archdiocese of Mobile - Retired Priests Fund; 400 Government St, Mobile, AL 36602; Propagation of Catholic faith; Investment Committee for the Retired Priest Endowment; Attend quarterly meetings; 10/20/2020; 1 Hour per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. Archdiocese of Mobile - Catholic Foundation Investment Committee Member; 400 Government St. Mobile AL 36602; Propagation of the Catholic Faith; Provide input and investment recommendations for the investment management of the funds under the umbrella of the Archdiocese of Mobile; Meet quarterly with the Investment Committee; 10/20/2020; 1.00hr/quarter; Not During Securities Trading Hours; Not Investment-Related. 4. Ft. Bibb Hunting Club; Carter Rd Forest Home AL 36030; Deer/Turkey Hunting Club; Treasurer; Collect the dues and pay the bills; 06/02/2025; 2 hrs/year; Not during security trading hours; Not Investment-Related 5. Fort Bibb Hunting Club LLC; 30046 Tamarack Dr. Spanish Fort, AL 36527; Hunting Club; Managing Member; I already have Ft. Bibb Hunting Club listed as an Outside Business Activity. The club has decided to set up an LLC and has asked that I be the managing member. The purpose will be to open a bank account in name of the LLC - and have the LLC listed as the lease holder instead of an individual name as lease holder; 08/10/2026; 1hr/mth; Not during securities trading hours; Not investment related

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-05-18
• S63 Uniform Securities Agent State Law Examination
  1996-02-12

Other Names

• James Andrew Williams
• Drew Williams