Michael A. Mulhaul

STIFEL, NICOLAUS & COMPANY

Shrewsbury, NJ 07702

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CRD#: 1009370

Professional summary

Michael Andrew Mulhaul is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Shrewsbury, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Michael has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Kiwanis New Jersey District Foundation; 120 Morris Ave Summit NJ 07901; Kiwanis to help serve & support children in NJ; Board Member; Meet quarterly to discuss fund raising and Grant applications in support of Kiwanis in NJ; affiliation started 10/01/2016; 2.0 hours per quarter; not during securities trading hours; not investment-related. 2. Kiwanis International; 3636 WoodviewTrace Indianapolis IN 46268-3196; Non-profit organization to serve children; Vice President; I am considered 1 of 4 officers who help run the organization; 10/02/2023; 1.00hr/day; During securities trading hours; Not investment-related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Andrew Mulhaul's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael Andrew Mulhaul's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 19, 2014 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702

RIA

CRD#: 793

Shrewsbury, NJ

Current

July 31, 2007 - Present

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Office #1: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702

RIA

CRD#: 793

Shrewsbury, NJ

Past

October 31, 2001 - July 31, 2007

RYAN BECK & CO.

CRD#: 3248

YARDLEY, PA

Past

November 13, 1998 - November 2, 2001

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

June 9, 1988 - October 29, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 2, 1985 - October 10, 1986

GMS GROUP

CRD#: 8000

Past

August 2, 1985 - April 28, 1988

MOORE & SCHLEY, CAMERON & CO.

CRD#: 6917

Past

June 7, 1985 - July 24, 1985

MARVEST SECURITIES, INC.

CRD#: 10938

Past

January 28, 1985 - April 10, 1985

BEVILL, BRESLER & SCHULMAN INCORPORATED

CRD#: 6971

Past

July 5, 1984 - December 4, 1984

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

September 20, 1982 - July 5, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

October 31, 1981 - September 30, 1982

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/24/2018)

Alaska
(3/3/2016)

Arizona
(4/30/2008)

Arkansas
(2/20/2017)

California
(7/31/2007)

Colorado
(7/22/2008)

Connecticut
(7/31/2007)

Delaware
(6/25/2012)

District of Columbia
(2/16/2017)

Florida
(7/31/2007)

Georgia
(7/31/2007)

Idaho
(1/23/2019)

Illinois
(5/13/2008)

Indiana
(3/3/2016)

Iowa
(7/31/2007)

Louisiana
(3/4/2016)

Maine
(3/28/2018)

Maryland
(7/31/2007)

Massachusetts
(9/10/2009)

Michigan
(7/31/2007)

Minnesota
(3/3/2017)

Mississippi
(7/31/2007)

Missouri
(7/31/2007)

Montana
(3/4/2016)

Nebraska
(3/3/2016)

Nevada
(3/15/2016)

New Jersey
(7/31/2007)

IAR

New Jersey
(2/19/2014)

New Mexico
(2/17/2017)

New York
(7/31/2007)

North Carolina
(7/31/2007)

North Dakota
(4/5/2013)

Ohio
(7/31/2007)

Oklahoma
(3/7/2016)

Oregon
(3/17/2016)

Pennsylvania
(7/31/2007)

IAR

Pennsylvania
(9/30/2016)

Rhode Island
(3/3/2016)

South Carolina
(3/11/2016)

South Dakota
(7/31/2007)

Tennessee
(9/11/2019)

Texas
(7/22/2015)

IAR

Texas
(9/30/2019)

Vermont
(7/31/2007)

Virgin Islands
(4/9/2018)

Virginia
(7/31/2007)

Washington
(7/25/2017)

West Virginia
(7/31/2007)

Wisconsin
(7/31/2007)

Wyoming
(10/2/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/4/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/18/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/17/1981

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793 / SEC#: 801-10746, 8-1447

RIA

Registered Investment Advisory firm - SEC (5/7/1975 Approved)

Georgia

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

501 North Broadway, St Louis, MO 63102

Mailing Address

501 North Broadway, St. Louis, MO 63102

Phone number

(314) 342-2000

Established

Missouri since 02/20/1900

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

6,464

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
STIFEL FINANCIAL CORP.	SHAREHOLDER
AYD, PAUL JOSEPH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2963853
BRIGHT, GEOFFREY CLYDE JR	CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP	4696103
BROOKS, PATRICK RODGERS	ROSFP - CAPITAL MARKETS	2223412
DODSON, CHARLES EDWARD	CCO ADVISORY SERVICES	1744430
FISHER, MARK PHILIP	GENERAL COUNSEL, SECRETARY	4970942
HYDE, GINA ELIZABETH	CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS	2812751
KRUSZEWSKI, RONALD JAMES	PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD	1434827
MELINGER, ADAM SCOTT	ROSFP - PCG	2373020
NOLL, DOUGLAS WAYNE	PRINCIPAL OPERATIONS OFFICER	1614129
RAYMOND, CHARLES BRADFORD GREEN	CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY	2796106
SCHRICK, FREDERICK RICHARD	PRINCIPAL FINANCIAL OFFICER	5636488
SLINEY, DAVID DEAN	SENIOR VICE PRESIDENT & DIRECTOR	2276514
ZEMLYAK, JAMES MARK	EXECUTIVE VICE PRESIDENT & DIRECTOR	1586132

Regulatory assets under management

Total Number of Accounts	368,405
AUM (Assets Under Management)	$ 171,209,609,487

Disclosures

Regulatory Event	168
Civil Event	2
Arbitration	60
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/18/2024	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael A. Mulhaul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Andrew Mulhaul's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Andrew Mulhaul's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RYAN BECK & CO.

JOSEPHTHAL & CO., INC.

MORGAN STANLEY DW INC.

GMS GROUP

MOORE & SCHLEY, CAMERON & CO.

MARVEST SECURITIES, INC.

BEVILL, BRESLER & SCHULMAN INCORPORATED

E. F. HUTTON & COMPANY INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2008

Series 63

Date: 8/4/1989

SIE

Date: 10/1/2018

Series 31

Date: 5/18/1993

Series 7

Date: 10/17/1981

FINRA

NYSE American LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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