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Benjamin Marshall

Stifel, Nicolaus & Company, Incorporated

Crown Point, IN

CRD 2908868

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2022-03-16
TX RA APPROVED 2022-03-16
  • IN RA
    APPROVED
    Since 2022-03-16
  • TX RA
    APPROVED
    Since 2022-03-16

Branch Locations

10550 Broadway, Crown Point, IN 46307 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ohio National Equities Inc. Cincinnati OH 06/2014 09/2018
Ohio National Financial Services Cincinnati OH 06/2014 09/2018
Transamerica Capital Inc Denver CO 10/2018 01/2022
Stifel Nicolaus Crown Point IN 01/2022 Present
  • 06/2014 → 09/2018
    Ohio National Equities Inc.
    Cincinnati, OH
  • 06/2014 → 09/2018
    Ohio National Financial Services
    Cincinnati, OH
  • 10/2018 → 01/2022
    Transamerica Capital Inc
    Denver, CO
  • 01/2022 → Present
    Stifel Nicolaus
    Crown Point, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-15
S63 Uniform Securities Agent State Law Examination 2000-01-12
  • S65 Uniform Investment Adviser Law Examination
    2022-03-15
  • S63 Uniform Securities Agent State Law Examination
    2000-01-12
Other Names
  • Ben Richard Marshall
  • Benjamin Richard Marshall

View on SEC IAPD

Nearby Firms

BENJAMIN F. EDWARDS & COMPANY, INC.
LPL FINANCIAL LLC
EDWARD JONES

Nearby Investors

SHAWN ALLEN SABAU
CINDY ANN REILLY
KENT ROBERT HUNTOON

Nearby Offices

BENJAMIN F. EDWARDS & COMPANY, INC. · Crown Point, IN
LPL FINANCIAL LLC · CROWN POINT, IN
EDWARD JONES · Crown Point, IN

More in Crown Point, IN

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