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Larry Neal Phillips

Stifel, Nicolaus & Company, Incorporated

St. Cloud, MN

Boca Raton, FL

CRD 868073

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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
FL RA APPROVED 2020-12-17
TX RA APPROVED_RES 2019-07-31
MN RA APPROVED 2014-06-24
  • FL RA
    APPROVED
    Since 2020-12-17
  • TX RA
    APPROVED_RES
    Since 2019-07-31
  • MN RA
    APPROVED
    Since 2014-06-24

Branch Locations

1010 West St. Germain St. Suite 400, St. Cloud, MN 56302 • United States

2650 North Military Trail Suite 400, Boca Raton, FL 33431 • 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. Cloud MN 12/2006 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1979-07-12
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1979-07-12
Other Names
  • Larry Neil Phillips

View on SEC IAPD

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LFA
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Nearby Investors

KIMBERLY MARIE FOSTER
CHRISTOPHER JOHN HASTINGS
Jennifer L Lesmeister

Nearby Offices

LFA · ST. CLOUD, MN
CETERA INVESTMENT ADVISERS LLC · ST CLOUD, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · Saint Cloud, MN

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