James Sherman King

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

• 03/2008 → 05/2023
  Rbc Capital Markets, Llc
  Florham Park, NJ
• 05/2023 → Present
  Stifel, Nicolaus & Company, Incorporated
  Florham Park, NJ

Previous Registrations

• 2020-06-29 → 2023-06-08
  Rbc Capital Markets, Llc
  Florham Park, NJ
  Florham Park, NJ

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-06-26
• S63 Uniform Securities Agent State Law Examination
  1987-10-30

Other Names

• Jim King