Kristian Bernal Mariaca

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 04/2024
  Morgan Stanley Smith Barney Llc
  New York, NY
• 01/2015 → 04/2024
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 04/2024 → Present
  Stifel, Nicolaus & Company, Incorporated
  New York City, NY

Previous Registrations

• 2021-06-22 → 2024-05-08
  Morgan Stanley
  New York, NY
  Eagle Bay, NY
• 2000-01-05 → 2008-05-30
  J.P. Morgan Securities Llc
  New York, NY
  New York, NY

Other Businesses

1. Klingen Associates LLC; 3 Derby Ct Loudonville NY 12211;This is a real estate holding company with my brother, mother and a cousin to own and operate a vacation rental property; Member; Co-Owner of this real estate holding company with my brother, mother and a cousin to own and operate a vacation rental property. I have minimal duties, outside of annual meetings of members; 12/30/2011; 0.00hrs/day; Not during securities trading hours; Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-11-18
• S63 Uniform Securities Agent State Law Examination
  1998-03-09