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James Matthew Duncan

Stifel, Nicolaus & Company, Incorporated

St. Louis, MO

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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 2018-10-24
MO RA APPROVED 2017-01-19
  • TX RA
    APPROVED_RES
    Since 2018-10-24
  • MO RA
    APPROVED
    Since 2017-01-19

Branch Locations

501 North Broadway, St. Louis, MO 63102 • 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
Bmo Harris Bank Na Milwaukee WI 07/2011 01/2017
Bmo Harris Financial Advisors, Inc. St Louis MO 08/2012 01/2017
Stifel, Nicolaus & Company, Incorporated St. Louis MO 01/2017 Present
Stifel Independent Advisors St. Louis MO 05/2022 Present
  • 07/2011 → 01/2017
    Bmo Harris Bank Na
    Milwaukee, WI
  • 08/2012 → 01/2017
    Bmo Harris Financial Advisors, Inc.
    St Louis, MO
  • 01/2017 → Present
    Stifel, Nicolaus & Company, Incorporated
    St. Louis, MO
  • 05/2022 → Present
    Stifel Independent Advisors
    St. Louis, MO
Previous Registrations
  • 2024-11-15 → 2026-08-24
    Stifel Independent Advisors, Llc
    St. Louis, MO
  • 2012-08-01 → 2017-01-04
    Bmo Harris Financial Advisors, Inc.
    St Louis, MO
    St Louis, MO
    St Louis, MO
    St Louis, MO
    Belleville, IL
    Arnold, MO
    St Louis, MO
    St Louis, MO
  • 2009-03-10 → 2012-08-01
    M&I Financial Advisors, Inc
    St Louis, MO
    St Louis, MO
  • 2010-04-27 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-03-09
S63 Uniform Securities Agent State Law Examination 2008-10-13
  • S65 Uniform Investment Adviser Law Examination
    2009-03-09
  • S63 Uniform Securities Agent State Law Examination
    2008-10-13
Other Names
  • Jim Duncan

View on SEC IAPD

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