Robert George Rix

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

Authority	Category	Status	Date
FL	RA	APPROVED	2019-07-01
MI	RA	APPROVED	2019-06-27
TX	RA	APPROVED	2019-06-27

FL RA
APPROVED

Since 2019-07-01
MI RA
APPROVED

Since 2019-06-27
TX RA
APPROVED

Since 2019-06-27

Branch Locations

Hernando, FL • United States

Byron Center, MI • United States

250 Pearl Street - 2Nd Floor Grand Rapids Downtown, Grand Rapids, MI 49503 • 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
Oppenheimer & Co	Grand Rapids	MI	04/2006	06/2019
Stifel Nicolaus & Co Inc	Grand Rapids	MI	06/2019	Present

04/2006 → 06/2019

Oppenheimer & Co

Grand Rapids, MI
06/2019 → Present

Stifel Nicolaus & Co Inc

Grand Rapids, MI

Previous Registrations

2007-01-03 → 2019-06-28

Oppenheimer & Co. Inc.

Holland, MI

Grand Rapids, MI

Byron Center, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-12-29
S63	Uniform Securities Agent State Law Examination	1998-08-31

S65 Uniform Investment Adviser Law Examination

2006-12-29
S63 Uniform Securities Agent State Law Examination

1998-08-31

Designations

Certified Financial Planner

Other Names

Robert G Rix

View on SEC IAPD