MA
Michael J. Anderson
STIFEL, NICOLAUS & COMPANY
Port Huron, MI 48060
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CRD#: 1025998
MA
Professional summary
Michael Joe Anderson, CFP®, who also goes by Michael J Anderson, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Port Huron, Michigan.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Michael has worked at 3 firms and has passed the Series 63, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Anderson
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. M & R Hunt Club; 4851 Finkle Road, Port Hope MI 48468; Family Recreational Property; Partner; Do maintenance and pay bills; 09/05/2007; 20.00 Hour(s) Per Month - not during securities trading hours; Not Investment-Related 2. Salvation Army of Port Huron, MI; 2000 Court Street, Port Huron, MI 48060; Tending to the spiritual needs and financial hardships of the community; Advisory Board Member; Attend the monthly meetings of the board and finance committee; 06/15/1983; 6.00 Hour(s) Per Month; During Securities Trading Hours; Not Investment-Related. 3. Michael J Anderson DBA M & R Hunt Club LLC; 4851 Finkle Road, Port Hope, MI 48468; Guided hunts for white tailed deer and waterfowl; President/joint ownership with spouse; Paperwork, guide some hunts; 12/22/2020; 5 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 4. Port Huron Estate Planning Council; 355 S Old Woodward Ave Birmingham, MI 48009; Professional Group consisting of attorneys, accountants, financial advisors and insurance agents. Meet for dinner and speaker; Serve on their board of directors; Help to conduct meetings and line up speakers; 11/19/2025; 2hrs/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joe Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Joe Anderson'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®
Experience
Current
August 24, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1430 Military Street Suite #2, Port Huron, MI 48060RIA
BD
CRD#: 793
Port Huron, MI
Current
August 24, 2018 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1430 Military Street Suite #2, Port Huron, MI 48060RIA
BD
CRD#: 793
Port Huron, MI
Past
May 26, 2010 - August 28, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PORT HURON, MI
Past
January 1, 2008 - August 28, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PORT HURON, MI
Past
January 25, 1982 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PORT HURON, MI
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
Alabama(10/25/2019)
RR
Arizona(8/24/2018)
RR
California(8/24/2018)
RR
Colorado(8/24/2018)
RR
Florida(8/24/2018)
RR
Georgia(8/24/2018)
RR
Illinois(8/24/2018)
RR
Indiana(1/2/2020)
RR
Iowa(1/10/2024)
RR
Kentucky(8/24/2018)
RR
Maryland(9/30/2024)
RR
Massachusetts(6/3/2024)
RR
Michigan(8/24/2018)
IAR
Michigan(8/24/2018)
RR
Missouri(6/21/2021)
RR
Montana(8/24/2018)
RR
New Jersey(2/24/2025)
RR
North Carolina(8/24/2018)
RR
Pennsylvania(8/20/2019)
RR
South Carolina(8/24/2018)
RR
South Dakota(8/24/2018)
RR
Tennessee(8/24/2018)
IAR
Texas(8/24/2018)
RR
Texas(3/18/2019)
RR
Virginia(9/13/2022)
RR
Wisconsin(3/13/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/13/1985
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 2/21/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
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
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Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Port Huron, MI 48060TRUST BUT VERIFY
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Contact information
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