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James Sherman King

Stifel, Nicolaus & Company, Incorporated

Morristown, NJ

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2023-06-12
  • NJ RA
    APPROVED
    Since 2023-06-12

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets, Llc Florham Park NJ 03/2008 05/2023
Stifel, Nicolaus & Company, Incorporated Florham Park NJ 05/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-06-26
S63 Uniform Securities Agent State Law Examination 1987-10-30
  • S65 Uniform Investment Adviser Law Examination
    2020-06-26
  • S63 Uniform Securities Agent State Law Examination
    1987-10-30
Other Names
  • Jim King

View on SEC IAPD

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