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Employer firm

Stifel Independent Advisors, LLC CRD 28218

$5.01B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Stifel Independent Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2022-03-21
  • MO RA
    APPROVED
    Since 2022-03-21

Branch Locations

One Financial Plaza 501 North Broadway, St. Louis, MO 63102 • UNITED STATES

Stifel, Nicolaus & Company, Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2013-11-19
  • MO RA
    APPROVED
    Since 2013-11-19

Branch Locations

501 North Broadway, St. Louis, MO 63102 • 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 St. Louis MO 07/2007 Present
Stifel Independent Advisors, Llc St. Louis MO 03/2022 Present
Keefe, Bruyette & Woods, Inc. St. Louis MO 03/2022 Present
Miller Buckfire & Co., Llc St. Louis MO 03/2022 07/2023
Other Businesses

1. Burlingame Rental Properties, LLC; 8 Carol Lee Dr. East Alton IL 62024; Own and maintain rental properties; Owner; book keeping; affiliation started 03/10/2017; 2.0 hours per year; not during securities trading hours; not investment-related. 2. Burlingame Property Group LLC; rental homes; partial owner; rental homes - owner; 04/13/2010; 2.00 Hour(s) Per Year; not during securities trading hours; Investment-Related. 3. Alton Pride, Alton, IL 62002; a charitable and educational organization established to bring awareness, understanding and advocacy to the LGBTQ+ community; Treasurer; bookkeeping, preparation of Financial Statements; 1/1/24; 5 hr/mo; Not During Securities Trading Hours; Not Investment Related.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-11-18
  • S66 Uniform Combined State Law Examination
    2013-11-18
Other Names
  • Deborah Rachel Smill
  • Deborah Rachel Burlingame

View on SEC IAPD

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