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Zachary Joseph Harveth

Stifel, Nicolaus & Company, Incorporated

Lake Forest, IL

CRD 6310472

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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 2020-01-06
IL RA APPROVED 2019-11-21
  • TX RA
    APPROVED_RES
    Since 2020-01-06
  • IL RA
    APPROVED
    Since 2019-11-21

Branch Locations

100 North Field Drive, Suite 340, Lake Forest, IL 60045 • 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
Morgan Stanley Chicago IL 02/2014 10/2019
Morgan Stanley Private Bank, N.A. New York NY 01/2015 10/2019
Stifel Nicolaus & Co Inc Lake Forest IL 10/2019 Present
  • 02/2014 → 10/2019
    Morgan Stanley
    Chicago, IL
  • 01/2015 → 10/2019
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 10/2019 → Present
    Stifel Nicolaus & Co Inc
    Lake Forest, IL
Previous Registrations
  • 2014-06-27 → 2019-11-01
    Morgan Stanley
    Chicago, IL
    South Jordan, UT
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-06-26
  • S66 Uniform Combined State Law Examination
    2014-06-26
Other Names
  • Zachary Joseph Harveth
  • Zachary J Harveth

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · LAKE FOREST, IL
BUSS CAPITAL MANAGEMENT, LLC · LAKE FOREST, IL
ISTO ADVISORS, LLC · Lake Forest, IL

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