RP
Rosario J. Petrizzo
STIFEL, NICOLAUS & COMPANY
Orland Park, IL 60467
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CRD#: 1018665
RP
Professional summary
Rosario Joseph Petrizzo, who also goes by Rosario J Petrizzo, Russ Petrizzo, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Orland Park, Illinois.
Rosario is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Rosario has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosario J Petrizzo | Russ Petrizzo
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. Disabled Patriot Fund; 7808 W College Dr. Palos heights IL 60463; Providing assistance for local U.S. veterans and their families adversely affected by their military service; VP; Conduct board meetings, propose policies to be voted on, fundraising (Annual Golf Outing); 06/30/2023; 5.00hrs/month; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Rosario Joseph Petrizzo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rosario Joseph Petrizzo's 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®
NoneExperience
Current
February 10, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10310 Orland Parkway, Suite 104, Orland Park, IL 60467RIA
BD
CRD#: 793
Orland Park, IL
Current
February 10, 2017 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 10310 Orland Parkway, Suite 104, Orland Park, IL 60467RIA
BD
CRD#: 793
Orland Park, IL
Past
January 15, 2008 - February 24, 2017
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ORLAND PARK, IL
Past
January 11, 2008 - February 24, 2017
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ORLAND PARK, IL
Past
October 31, 2003 - January 15, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ORLAND PARK, IL
Past
October 28, 2003 - January 15, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
ORLAND PARK, IL
Past
May 21, 1998 - October 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ORLAND PARK, IL
Past
March 21, 1998 - October 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 22, 1988 - March 26, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
December 23, 1981 - February 8, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Arizona(2/10/2017)
RR
Arkansas(8/24/2022)
RR
Florida(2/10/2017)
RR
Illinois(2/10/2017)
IAR
Illinois(2/10/2017)
RR
Indiana(2/27/2017)
RR
Kansas(2/10/2017)
RR
Michigan(2/10/2017)
IAR
Michigan(2/15/2017)
RR
Mississippi(2/10/2017)
RR
Missouri(2/10/2017)
RR
North Carolina(2/2/2022)
RR
Ohio(9/13/2018)
RR
Rhode Island(2/10/2017)
RR
Tennessee(12/17/2018)
IAR
Texas(2/13/2017)
RR
Texas(3/31/2023)
RR
Virginia(1/30/2019)
RR
Wisconsin(2/10/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/29/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
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)BD
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
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 | ||
| 12/19/2023 |
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.
