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Gregory Peter Wirthmann

Stifel, Nicolaus & Company, Incorporated

Tallahassee, FL

Hauppauge, NY

CRD 1216938

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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
NY RA APPROVED 2021-05-26
FL RA APPROVED 2019-03-25
  • NY RA
    APPROVED
    Since 2021-05-26
  • FL RA
    APPROVED
    Since 2019-03-25

Branch Locations

Tallahassee, FL • United States

100 Motor Parkway 2Nd Floor, Hauppauge, NY 11788 • 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
First Empire Securities, Inc. Hauppauge NY 04/2010 03/2019
Stifel, Nicolaus & Company, Incorporated Tallahassee FL 03/2019 Present
Previous Registrations
  • 2011-03-28 → 2019-01-10
    First Empire Asset Management, Inc
    Tallahassee, FL
    Hauppauge, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-08-26
S63 Uniform Securities Agent State Law Examination 2010-05-26
  • S65 Uniform Investment Adviser Law Examination
    2010-08-26
  • S63 Uniform Securities Agent State Law Examination
    2010-05-26
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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