James Garcia, financial advisor Bethel Park PA

James Garcia

CRD Number: 1001147
Current Firm: Stifel, Nicolaus & Company, Incorporated

James Garcia (CRD# 1001147) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Bethel Park, PA and has over 42 years of experience in the finance industry.

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Company Name Location Dates Years
Stifel Nicolaus & Co Inc. Bethel Park, PA Mar 2009 - Current 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1981
S65 NASAA Investment Advisors Law Examination Apr 1996
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for James J. Garcia
Phone Number: 314-342-2000
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    132,551
    MILLIONS
  • Total Number of Accounts
    334,814
    ACCOUNTS
  • Average Account Value
    $395,894
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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