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Jonathan B. Ricks

Stifel, Nicolaus & Company, Incorporated

Traverse City, MI

Maple City, MI

CRD 5247011

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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_RES 2019-01-11
MI RA APPROVED 2009-11-25
  • TX RA
    APPROVED_RES
    Since 2019-01-11
  • MI RA
    APPROVED
    Since 2009-11-25

Branch Locations

202 East State Street Suite 300, Traverse City, MI 49684 • United States

Maple City, MI • 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
Stifel, Nicolaus & Company, Incorporated Traverse City MI 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-14
S63 Uniform Securities Agent State Law Examination 2007-04-21
  • S66 Uniform Combined State Law Examination
    2007-09-14
  • S63 Uniform Securities Agent State Law Examination
    2007-04-21
Other Names
  • Jonathan B. Ricks
  • Jonathan Bernard Ricks

View on SEC IAPD

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CHARLES SCHWAB & CO., INC.
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Nearby Investors

DEBORAH ANN ALICE
Kevin Edwin Dunklow
BUZ EDWARD ZAMARRON

Nearby Offices

UP NORTH FINANCIAL, LLC · TRAVERSE CITY, MI
CHARLES SCHWAB & CO., INC. · Traverse City, MI
REHMANN WEALTH · TRAVERSE CITY, MI

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