John Dennis Carroll

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2008 → 09/2016
  Rbc Capital Markets Llc
  Albany, NY
• 09/2016 → 10/2021
  City National Bank
  Albany, NY
• 11/2021 → Present
  Stifel Nicolaus & Co Inc
  Saratoga Springs, NY

Previous Registrations

• 2004-12-06 → 2021-12-01
  Rbc Capital Markets, Llc
  Albany, NY

Other Businesses

1. Wolferts Roost Country Club, inc.; 120 Van Rensselear Blvd Albany NY 12204; Country Club; Member of Finance Committee; Consult on Finances; 09/02/2024; 1 hr/month; Not during securities trading hours; Not Investment-Related 2. The Albany Academies; 135 Academy Road Albany NY 12208; Not for profit school; Member of institutional advancement committee; Advise on fundraising; 12/01/2024; 1 hr/quarter; Not during securities trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-02
• S63 Uniform Securities Agent State Law Examination
  1993-07-10

Other Names

• John Dennis Carroll