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Robert James La Penna

Stifel, Nicolaus & Company, Incorporated

New York, NY

CRD 7272182

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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
NJ RA APPROVED 2022-10-21
NY RA APPROVED 2022-10-21
  • NJ RA
    APPROVED
    Since 2022-10-21
  • NY RA
    APPROVED
    Since 2022-10-21

Branch Locations

1095 Avenue Of The Americas 3Rd & 4Th Floors, New York, NY 10036 • 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 New York NY 07/2021 Present
Loyola University Maryland Baltimore MD 09/2020 05/2021
Stifel New York NY 06/2020 07/2020
Loyola University Maryland Baltimore MD 09/2019 05/2020
Hand Over Hand, Llc Morris Plains NJ 07/2019 08/2019
Loyola University Maryland Baltimore MD 09/2018 05/2019
Hoffmann And Baron, Llp Parsippany NJ 06/2018 07/2018
Loyola University Maryland Baltimore MD 08/2017 05/2018
Randolph High School Randolph NJ 09/2013 06/2017
  • 07/2021 → Present
    Stifel
    New York, NY
  • 09/2020 → 05/2021
    Loyola University Maryland
    Baltimore, MD
  • 06/2020 → 07/2020
    Stifel
    New York, NY
  • 09/2019 → 05/2020
    Loyola University Maryland
    Baltimore, MD
  • 07/2019 → 08/2019
    Hand Over Hand, Llc
    Morris Plains, NJ
  • 09/2018 → 05/2019
    Loyola University Maryland
    Baltimore, MD
  • 06/2018 → 07/2018
    Hoffmann And Baron, Llp
    Parsippany, NJ
  • 08/2017 → 05/2018
    Loyola University Maryland
    Baltimore, MD
  • 09/2013 → 06/2017
    Randolph High School
    Randolph, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-20
  • S66 Uniform Combined State Law Examination
    2022-10-20
Other Names
  • Rob La Penna

View on SEC IAPD

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