Christopher W. Inglis
STIFEL, NICOLAUS & COMPANY
Clearlake, CA
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CRD#: 1040321
Professional summary
Christopher William Inglis, CFP®, who also goes by Chris Inglis, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Clearlake, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Christopher has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Inglis
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. City of Clearlake, CA, Planning Commission; 14050 Olympic Dr, Clearlake, CA 95422; Planning Commission for the city where I reside; Planning Commissioner; Serving the city by overseeing the planning dept.; 04/10/2023; 6 Hours per Month; Not during securities trading hours; Not Investment-Related. 2. Rental Property; 3902 Oak Dr, Clearlake, CA 95422; Owner; 05/25/2023; 8 Hours per Month; Not during securities trading hours; Investment-Related. 3. Rotary Club of Clear Lake; 14732 Lakeshore Dr Clearlake CA 95422; Business and Civic service group; Board member; I show up on the weekend to work with disadvantaged folks, and I have been asked to be a board member, and treasurer; 01/24/2025; 10 hrs/month; Not during securities trading hours; Not Investment-Related. 4. Rotary Club of Clear Lake; 14732 Lakeshore Dr Clearlake CA 95422; Service Club; Treasurer; Keeping the treasury, making disbursements; 12/31/2024; 3 hrs/month; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Christopher William Inglis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher William Inglis'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®
CFP®
Start date: 2003
Experience
Current
May 25, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
Clearlake, CA
Current
May 25, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: One Montgomery Street Suites 3300 3500, 3600, & 3700, San Francisco, CA, 94104RIA
BD
CRD#: 793
San Francisco, CA
Past
November 2, 2007 - June 5, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
SAN MATEO, CA
Past
November 2, 2007 - June 5, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
SAN MATEO, CA
Past
December 10, 2001 - November 8, 2007
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
REDWOOD SHORES, CA
Past
November 29, 2001 - November 8, 2007
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
REDWOOD SHORES, CA
Past
March 30, 1992 - November 30, 2001
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
April 16, 1987 - October 12, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
BD
CRD#: 16116
Past
August 18, 1986 - February 2, 1988
MUNICICORP OF CALIFORNIA
BD
CRD#: 7184
Past
June 27, 1984 - August 25, 1986
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
October 25, 1982 - June 22, 1984
MUNICICORP OF CALIFORNIA
BD
CRD#: 7184
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
California(5/25/2023)
IAR
California(5/25/2023)
RR
Colorado(5/25/2023)
RR
Nevada(5/25/2023)
RR
Oregon(5/25/2023)
RR
Washington(6/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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.
