Richard Todd Zuckerman

Current Employers

Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-26
NJ	RA	APPROVED	2007-04-24

NY RA
APPROVED

Since 2021-05-26
NJ RA
APPROVED

Since 2007-04-24

Branch Locations

2515 South Road Suite 202, Poughkeepsie, NY 12601 • United States

4 West Red Oak Lane, Suite 101, White Plains, NY 10604 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Stifel, Nicolaus & Company, Incorporated	Roseland	NJ	04/2007	Present

04/2007 → Present

Stifel, Nicolaus & Company, Incorporated

Roseland, NJ

Previous Registrations

2005-11-15 → 2007-04-24

Ryan Beck & Co.

Roseland, NJ
2004-01-01 → 2005-11-17

Pnc Wealth Management Llc

Millburn, NJ
2003-09-11 → 2004-01-01

J.J.B. Hilliard, W.L. Lyons, Llc

Millburn, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-27
S63	Uniform Securities Agent State Law Examination	1991-02-11

S65 Uniform Investment Adviser Law Examination

1999-12-27
S63 Uniform Securities Agent State Law Examination

1991-02-11

View on SEC IAPD

Current Employers

Stifel, Nicolaus & Company, Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews