Regina K Kolkhorst

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
TX	RA	APPROVED	2025-04-04

TX RA
APPROVED

Since 2025-04-04

Branch Locations

6303 Cowboys Way, Frisco, TX 75034 • 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

Organization	City	State	From	To
Fiduciary Financial Services Wealth Management	Dallas	TX	09/1996	12/2019
B.RIley Wealth Management, Inc.	Memphis	TN	01/2020	04/2025
B. Riley Wealth Advisors, Inc.	Memphis	TN	09/2022	04/2025
Stifel, Nicolaus & Company, Incorporated	Dallas	TX	04/2025	Present

09/1996 → 12/2019

Fiduciary Financial Services Wealth Management

Dallas, TX
01/2020 → 04/2025

B.RIley Wealth Management, Inc.

Memphis, TN
09/2022 → 04/2025

B. Riley Wealth Advisors, Inc.

Memphis, TN
04/2025 → Present

Stifel, Nicolaus & Company, Incorporated

Dallas, TX

Previous Registrations

2022-09-21 → 2025-04-07

B. Riley Wealth Advisors, Inc.

Dallas, TX

Other Businesses

1. Texas Notary; 13155 Noel Rd., Ste 750 Dallas TX 75240; Notary; Notarize documents; 02/20/2023; 1 hr/quarter; during security trading hours; Not Investment-Related

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2022-11-05
S65	Uniform Investment Adviser Law Examination	2022-09-17

S63 Uniform Securities Agent State Law Examination

2022-11-05
S65 Uniform Investment Adviser Law Examination

2022-09-17

View on SEC IAPD