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James Joseph Iii Schlafly

STIFEL, NICOLAUS & COMPANY, INCORPORATED·ST LOUIS, Missouri
SIE, Series 7, Series 8, Series 24, Series 53, Series 63STIFEL, NICOLAUS & COMPANY, INCORPORATED
501 N BROADWAY, ST LOUIS, MO 63102CRD# 735541Firm CRD# 793

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James Joseph Iii Schlafly · ST LOUIS, MO
Registration
CRD #735541 · STIFEL, NICOLAUS & COMPANY, INCORPORATED
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 8
Series 24
Series 53
Series 63
02

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

03

Firm Overview

Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD 793 · SEC 801-10746
AUM
$149.2B
Regulatory assets under management
Employees
6,534
348,524 client accounts
Services offered by STIFEL, NICOLAUS & COMPANY, INCORPORATED
Per Form ADV
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at STIFEL, NICOLAUS & COMPANY, INCORPORATED →
Introduction

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04

Frequently Asked Questions

What services does James Joseph Iii Schlafly offer?
James Joseph Iii Schlafly specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in ST LOUIS, Missouri for a consultation.
What are James Joseph Iii Schlafly's credentials?
James Joseph Iii Schlafly is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James Joseph Iii Schlafly located?
James Joseph Iii Schlafly is based in ST LOUIS, Missouri, working with STIFEL, NICOLAUS & COMPANY, INCORPORATED. Their office serves clients in the ST LOUIS metropolitan area and surrounding communities.
How does James Joseph Iii Schlafly charge for services?
James Joseph Iii Schlafly's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is STIFEL, NICOLAUS & COMPANY, INCORPORATED?
STIFEL, NICOLAUS & COMPANY, INCORPORATED has approximately 6534 employees and manages $149.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at STIFEL, NICOLAUS & COMPANY, INCORPORATED

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Hugo John Iii Warns
ST LOUIS, MO
CFA
Richard Jay Himelfarb
ST LOUIS, MO
Michael Francis Imhoff
ST LOUIS, MO
Thomas P Mulroy
ST LOUIS, MO
Thomas Richard Iv Kendrick
ST LOUIS, MO

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Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Missouri
KANSAS CITY (148)CLAYTON (77)CHESTERFIELD (69)SAINT LOUIS (65)SPRINGFIELD (36)MANCHESTER (20)COLUMBIA (18)ST. PETERS (16)JEFFERSON CITY (10)LEE'S SUMMIT (10)
City Guides
KANSAS CITY GuideCLAYTON GuideCHESTERFIELD GuideSAINT LOUIS GuideSPRINGFIELD Guide
Research
Advisor Fees in MissouriNational Fee Analysis
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