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JAMES GARDNER BRAND
CRD#: 2681871
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 ONE NORTH WACKER
SUITE 3400
CHICAGO, IL 60606
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2015 - Present (9 years)BBARCLAYS CAPITAL INC. (CRD# 19714)2008 - 2015 (7 years)BLEHMAN BROTHERS INC. (CRD# 7506)1996 - 2008 (12 years)IABARCLAYS CAPITAL INC. (CRD# 19714)2009 - 2015 (6 years)IALEHMAN BROTHERS INC. (CRD# 7506)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 3/13/2020

B
Montana 3/13/2020

B
Alaska 3/13/2020

B
Nebraska 3/13/2020

B
Arizona 12/4/2015

B
Nevada 3/21/2018

B
Arkansas 3/13/2020

B
New Hampshire 3/13/2020

B
California 12/4/2015

B
New Jersey 12/4/2015

B
Colorado 12/4/2015

B
New Mexico 3/13/2020

B
Connecticut 12/4/2015

B
New York 3/13/2020

B
Delaware 3/13/2020

B
North Carolina 3/16/2020

B
District of Columbia 1/8/2019

B
North Dakota 3/13/2020

B
Florida 12/4/2015

B
Ohio 12/4/2015

B
Georgia 3/13/2020

B
Oklahoma 3/13/2020

B
Hawaii 3/13/2020

B
Oregon 3/13/2020

B
Idaho 3/13/2020

B
Pennsylvania 3/13/2020

B
Illinois 12/4/2015

B
Puerto Rico 3/13/2020

IA
Illinois 12/4/2015

B
Rhode Island 3/13/2020

B
Indiana 12/4/2015

B
South Carolina 12/4/2015

B
Iowa 3/13/2020

B
South Dakota 3/13/2020

B
Kansas 12/4/2015

B
Texas 12/4/2015

B
Kentucky 3/13/2020

IA
Texas 12/4/2015

B
Louisiana 3/13/2020

B
Utah 3/13/2020

B
Maine 3/13/2020

B
Vermont 3/13/2020

B
Maryland 3/13/2020

B
Virgin Islands 3/13/2020

B
Massachusetts 12/16/2020

B
Virginia 3/13/2020

B
Michigan 12/4/2015

B
Washington 12/4/2015

B
Minnesota 12/4/2015

B
West Virginia 3/13/2020

B
Mississippi 3/13/2020

B
Wisconsin 12/4/2015

B
Missouri 12/4/2015

B
Wyoming 3/13/2020

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Chicago, Inc.

B
Nasdaq ISE, 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)
ONE NORTH WACKER SUITE 3400, CHICAGO, IL 60606
Registered with this firm since 12/4/2015

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
ONE NORTH WACKER SUITE 3400, CHICAGO, IL 60606
Registered with this firm since 12/4/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/21/2009 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) CHICAGO, IL
B
09/22/2008 - 12/04/2015 BARCLAYS CAPITAL INC. (CRD#:19714) CHICAGO, IL
IA
04/21/2008 - 10/15/2008 LEHMAN BROTHERS INC. (CRD#:7506) CHICAGO, IL
B
03/25/1996 - 09/22/2008 LEHMAN BROTHERS INC. (CRD#:7506) CHICAGO, IL
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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.