STIFEL INDEPENDENT ADVISORS, LLC of ST LOUIS, MO is an SEC-registered investment adviser (CRD 28218). Regulatory assets under management: $5.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 54 people.
| Name | Role | Location |
|---|---|---|
| Michael Lee | ASSISTANT VICE PRESIDENT | New York, NY |
| David E Marcus | PRESIDENT AND CEO | Summit, NJ |
| Michael J Lee | ASSISTANT VICE PRESIDENT | Grimes, IA |
| MICHAEL R LEE | ASSISTANT VICE PRESIDENT | PALO ALTO, CA |
| James Mark Zemlyak | MANAGER, BOARD OF MANAGERS | — |
| Douglas Wayne Noll | PRINCIPAL OPERATIONS OFFICER | — |
| Ronald James Kruszewski | CHAIRMAN, STIFEL FINANCIAL | — |
| Mark Philip Fisher | GENERAL COUNSEL | — |
| Adam Scott Melinger | ROSFP | — |
| Charles Edward Dodson | CCO-ADVISORY SERVICES | — |
| Geoffrey Clyde Jr Bright | CHIEF COMPLIANCE OFFICER | — |
| Frank Angelo Jr Massa | PRESIDENT | — |
| Patricia Agnes Boylan | CHIEF COMPLIANCE OFFICER | — |
| Candace Lynn Scappator | FINOP/PRINCIPAL FINANCIAL OFFICER | — |
| Tracy Zimmerer | PRINCIPAL OPERATIONS OFFICER | — |
| Michael Sungmin Lee | ASSISTANT VICE PRESIDENT | — |
| James Francis Rowan | PRINCIPAL FINANCIAL OFFICER | — |
| Allen Cor Brautigam | PRESIDENT AND CEO | — |
| KRUSZEWSKI RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL; DIRECTOR; DIRECTOR, CHAIRMAN OF THE BOARD | — |
| MCCUAIG SCOTT BRADLEY | DIRECTOR, PRESIDENT | — |
| ZEMLYAK JAMES MARK | DIRECTOR; MANAGER, BOARD OF MANAGERS | — |
| BURKEMPER BERNARD NEAL | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND TREASURER | — |
| PENWELL NANCY ANN | ROSFP; SROP | — |
| KELLAMS MARCIA JOHNSON | SECRETARY | — |
| NOLL DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-25 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRMS CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THEY FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A SUPERVISORY SYSTEM, INCLUDING WSPS, REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THEIR SUITABILITY OBLIGATIONS IN CONNECTION WITH NON-… | Final | $80K |
| 2014-01-09 | regulatory | FINRA RULES 2010, 2111, NASD RULES 2310, 3010: THE FIRM ALLOWED ITS REGISTERED REPRESENTATIVES TO RECOMMEND NONTRADITIONAL ETFS TO CERTAIN OF ITS CUSTOMERS WITHOUT ITS REPRESENTATIVES CONDUCTING ADEQUATE DUE DILIGENCE ON THE PRODUCTS. THE FIRM CONDUCTED DUE DILIGENCE REGARDING NONTRADITIONAL ETFS AN… | Final | $100K |
| — | civil | — | — | — |