James Lin

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

• 02/2010 → 02/2019
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Irvine, CA
• 02/2019 → Present
  Stifel Nicolaus & Co Inc
  Irvine, CA

Previous Registrations

• 2011-11-07 → 2019-02-26
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Brea, CA
  Newport Beach, CA
  Irvine, CA

Other Businesses

1. National Notary Association; 9350 DeSoto Avenue, Chatsworth, CA 91311; Notary Public; 03/28/2014; during securities trading hours; Not Investment-Related. 2. Rental property; 25122 La Jolla Way, Laguna Niguel, CA 92677; Owner; Property maintenance; 10/07/2022; 3 Hours per Month; Not during securities trading hours; Investment-Related. 3. Merrywood LLC; 300 Spectrum Center Drive STE 400 Irvine, CA 92618; Real Estate; LLC Member; Non-managing member of the LLC; 06/12/2023; 1.00hr/week; Not during securities trading hours; Investment-Related.

Exams

• S66 Uniform Combined State Law Examination
  2011-11-04