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Geoffrey Blair Ringstad

Stifel, Nicolaus & Company, Incorporated

Hauppauge, NY

CRD 1441069

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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
TX RA APPROVED 2019-03-22
  • NY RA
    APPROVED
    Since 2021-05-26
  • TX RA
    APPROVED
    Since 2019-03-22

Branch Locations

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 12/2002 03/2019
Stifel, Nicolaus & Company, Incorporated Hauppauge NY 03/2019 Present
Previous Registrations
  • 2010-04-06 → 2019-01-10
    First Empire Asset Management, Inc
    Hauppauge, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-01
S63 Uniform Securities Agent State Law Examination 1986-01-10
  • S66 Uniform Combined State Law Examination
    2010-03-01
  • S63 Uniform Securities Agent State Law Examination
    1986-01-10
Other Names
  • Geoffrey B Ringstad

View on SEC IAPD

Nearby Firms

EQUITY SERVICES, INC.
MADISON GLOBAL ADVISORS LLC
UNITED FINANCIAL PLANNING GROUP LLC

Nearby Investors

RICHARD S HYAMS
ALEXANDER VICTOR ZOURIDES
LANNY JOEL WEISMAN

Nearby Offices

EQUITY SERVICES, INC. · HAUPPAUGE, NY
MADISON GLOBAL ADVISORS LLC · HAUPPAUGE, NY
UNITED FINANCIAL PLANNING GROUP LLC · HAUPPAUGE, NY

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