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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
TX RA APPROVED 2019-01-22
  • TX RA
    APPROVED
    Since 2019-01-22

Branch Locations

300 Throckmorton Street Suite 1400, Fort Worth, TX 76102 • 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
OrganizationCityStateFromTo
Merrill Lynch Fort Worth TX 09/1998 01/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Worth TX 09/1998 01/2019
Bank Of America, N.A. Fort Worth TX 07/2011 01/2019
Stifel Nicolaus & Co Inc Fort Worth TX 01/2019 Present
  • 09/1998 → 01/2019
    Merrill Lynch
    Fort Worth, TX
  • 09/1998 → 01/2019
    Fort Worth, TX
  • 07/2011 → 01/2019
    Bank Of America, N.A.
    Fort Worth, TX
  • 01/2019 → Present
    Stifel Nicolaus & Co Inc
    Fort Worth, TX
Previous Registrations
Other Businesses

1. Texas Wesleyan University; 1201 Wesleyan St. Fort Worth TX 76105; Education; Member of Advisory Council; advice and advocacy on University priorities; 01/15/2019; 10.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related 2. Wall Street Cattle Company LLC; 1880 Jay Bird Lane Springtown TX 76082; Cattle/Real Estate; Investor/Owner; 01/14/2020; 0.00 Hour(s) Per Day; Not during securities trading hours; Investment-Related 3. Fandina's High Tines Ranch; 2905 Oak Trail Ct. Arlington TX 76016; Selling Hunts on our ranch; Manage ranch & guide hunts; 01/01/2015; 40.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related 4. Fandina LLC; 2905 Oak Trail Ct. Arlington TX 76016; Ranch land, whitetail deer breeding, exotic animals sales and bulldozer rental; owner; 02/01/2015; 40.00 Hour(s) Per Year; not during securities trading hours; Not Investment-Related 5. Wall Street Equine Events LLC; 1880 Jaybird Lane, Springtown, TX 76082; Hosting horse and cattle events; Member; Passive Investor; 04/01/2020; 1 Hour per Week; Not During Securities Trading Hours; Not Investment-Related. 6. ACH Child and Family Services; 3712 Wichita St, Fort Worth, TX 76119; Child advocacy, orphanage, foster home services, adoptions, etc.; Board Member; Event planning, marketing strategy, general advice on how ACH can improve their involvement on the community; 01/01/2021; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-03-08
  • S66 Uniform Combined State Law Examination
    1999-03-08
Other Names
  • Toby Ardoyno
  • Toby Ardoyno
  • Matt Tobin Ardoyno

View on SEC IAPD

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