Individual Firm
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JAMES DOUGLAS HARRIS III
CRD#: 2223899
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 SHADES CREEK PARKWAY
SUITES 750 & 775
BIRMINGHAM, AL 35209
SUITES 750 & 775
BIRMINGHAM, AL 35209
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6/17/2011
Customer Dispute
Settled
4/20/2010
Customer Dispute
Withdrawn
11/2/2009
Customer Dispute
Settled
State Registrations
B
Alabama 7/7/2015
B
Mississippi 6/17/2021
IA
Alabama 7/7/2015
B
New York 3/24/2023
B
California 10/2/2023
B
Oregon 1/31/2017
B
Florida 7/7/2015
B
Tennessee 1/2/2019
B
Georgia 8/8/2017
B
Texas 10/3/2019
B
Kentucky 7/7/2015
IA
Texas 10/3/2019
B
Louisiana 1/2/2019
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/7/2015
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Registered with this firm since 7/7/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/28/2009 - 07/07/2015 | BIRMINGHAM, AL | |
B | 04/27/2009 - 07/07/2015 | BIRMINGHAM, AL | |
B | 09/05/2008 - 04/23/2009 | JERSEY CITY, NJ | |
IA | 02/12/2003 - 06/21/2004 | BIRMINGHAM, AL | |
B | 03/16/2001 - 06/21/2004 | MEMPHIS, TN | |
B | 08/14/2000 - 04/02/2001 | WEEHAWKEN, NJ | |
B | 08/16/1996 - 08/14/2000 | NEW YORK, NY | |
B | 07/31/1993 - 09/03/1996 | NEW YORK, NY | |
B | 04/09/1992 - 07/31/1993 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.