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Richard Ross Williams

Stifel, Nicolaus & Company, Incorporated

Southfield, MI

CRD 5843465

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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
MI RA APPROVED 2016-12-08
TX RA APPROVED 2016-12-08
  • MI RA
    APPROVED
    Since 2016-12-08
  • TX RA
    APPROVED
    Since 2016-12-08

Branch Locations

One Northwestern Plaza 28411 Northwestern Highway, Southfield, MI 48034 • 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
Wells Fargo Advisors Llc Port Huron MI 09/2010 11/2016
Stifel Nicolaus & Co Inc Southfield MI 12/2016 Present
Wells Fargo Clearing Services, Llc Port Huron MI 11/2016 12/2016
  • 09/2010 → 11/2016
    Wells Fargo Advisors Llc
    Port Huron, MI
  • 12/2016 → Present
    Stifel Nicolaus & Co Inc
    Southfield, MI
  • 11/2016 → 12/2016
    Wells Fargo Clearing Services, Llc
    Port Huron, MI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-29
  • S66 Uniform Combined State Law Examination
    2010-12-29

View on SEC IAPD

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