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James Kennerly Werner

Stifel, Nicolaus & Company, Incorporated

Chattanooga, TN

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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 2020-01-13
TN RA APPROVED 2015-07-07
  • TX RA
    APPROVED_RES
    Since 2020-01-13
  • TN RA
    APPROVED
    Since 2015-07-07

Branch Locations

605 Chestnut Street Suite 1010, Chattanooga, TN 37450 • 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
Stifel, Nicolaus & Company, Incorporated Chattanooga TN 07/2015 Present
Stifel, Nicolaus & Company, Incorporated Chattanooga TN 07/2015 Present
Previous Registrations
  • 2009-05-22 → 2015-07-07
    Intl Advisory Consultants Inc.
    Birmingham, AL
  • 2004-04-12 → 2009-05-28
    Citigroup Global Markets Inc.
    Chattanooga, TN
    Chattanooga, TN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-08-05
S63 Uniform Securities Agent State Law Examination 1983-10-26
  • S65 Uniform Investment Adviser Law Examination
    1992-08-05
  • S63 Uniform Securities Agent State Law Examination
    1983-10-26
Other Names
  • Buddy Werner

View on SEC IAPD

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