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JAMES TAYLOR MCELROY
CRD#: 4707879
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 800 SHADES CREEK PARKWAY
SUITES 750 & 775
BIRMINGHAM, AL 35209
SUITES 750 & 775
BIRMINGHAM, AL 35209
0
Disclosures
20
Years of Experience
View By:
State Registrations
B
Alabama 7/7/2015
B
Louisiana 7/7/2015
IA
Alabama 7/7/2015
B
Mississippi 7/7/2015
B
Arkansas 11/28/2017
B
New York 7/7/2015
B
California 12/11/2017
B
North Carolina 7/7/2015
B
Colorado 7/7/2015
B
Tennessee 3/1/2016
B
Florida 7/7/2015
B
Texas 7/7/2015
B
Georgia 7/7/2015
IA
Texas 11/12/2015
B
Illinois 8/15/2024
SRO Registrations
B
B
B
B
B
B
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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 | 09/19/2007 - 07/07/2015 | BIRMINGHAM, AL | |
B | 09/19/2007 - 07/07/2015 | BIRMINGHAM, AL | |
IA | 02/21/2006 - 09/24/2007 | BIRMINGHAM, AL | |
B | 02/03/2005 - 09/24/2007 | BIRMINGHAM, AL |
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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.