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JAMES ROBERT PAUL
CRD#: 1109416
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 70 WEST MADISON STREET
SUITE 2500
CHICAGO, IL 60602
Registration History
1985199019952000200520102015202020252 FIRMS2007 - Present (17 years)BRYAN BECK & CO. (CRD# 3248)2002 - 2007 (5 years)BGRUNTAL & CO., L.L.C. (CRD# 372)1997 - 2002 (4 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1984 - 1997 (13 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1983 - 1984 (1 year)IARYAN BECK & CO. (CRD# 3248)2006 - 2007 (<1 year)
Disclosure(s)
View By:
8/2/2013
Customer Dispute
Settled
11/14/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 4/24/2007

B
Missouri 1/11/2016

B
Arkansas 4/24/2007

B
Nebraska 5/23/2016

B
California 4/24/2007

B
Nevada 4/24/2007

B
Colorado 4/24/2007

B
New Jersey 1/3/2012

B
Connecticut 4/24/2007

B
New York 1/26/2016

B
Florida 4/24/2007

B
North Carolina 8/3/2016

B
Hawaii 6/9/2017

B
Pennsylvania 6/17/2019

B
Illinois 4/24/2007

B
South Carolina 9/29/2017

IA
Illinois 4/24/2007

B
Tennessee 4/24/2007

B
Indiana 4/24/2007

B
Texas 4/24/2007

B
Iowa 1/26/2011

B
Virginia 3/9/2016

B
Maryland 4/24/2007

B
Washington 2/4/2014

B
Massachusetts 4/30/2014

B
West Virginia 2/22/2021

B
Minnesota 4/24/2007

B
Wisconsin 4/24/2007

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
70 WEST MADISON STREET SUITE 2500, CHICAGO, IL 60602
Registered with this firm since 4/24/2007

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
70 WEST MADISON STREET SUITE 2500, CHICAGO, IL 60602
Registered with this firm since 4/24/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/11/2006 - 04/24/2007 RYAN BECK & CO. (CRD#:3248) CHICAGO, IL
B
04/29/2002 - 04/24/2007 RYAN BECK & CO. (CRD#:3248) CHICAGO, IL
B
11/28/1997 - 05/13/2002 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
B
12/07/1984 - 12/10/1997 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
03/23/1983 - 12/07/1984 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.