AL
Alan J. Login
STIFEL, NICOLAUS & COMPANY
Shrewsbury, NJ 07702
Some features on this profile are disabled
CRD#: 1089791
AL
Professional summary
Alan Jeffrey Login, who also goes by Alan Jeffery Login, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Shrewsbury, New Jersey.
Alan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Alan has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 15, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alan Jeffery Login
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Jeffrey Login's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alan Jeffrey Login'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
October 20, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702RIA
BD
CRD#: 793
Shrewsbury, NJ
Current
October 20, 2014 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1040 Broad Street Suite 301, Shrewsbury, NJ 07702RIA
BD
CRD#: 793
Shrewsbury, NJ
Past
June 1, 2009 - October 28, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
TOMS RIVER, NJ
Past
June 1, 2009 - October 28, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
TOMS RIVER, NJ
Past
August 8, 2002 - June 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OAKHURST, NJ
Past
October 1, 2000 - June 3, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OAKHURST, NJ
Past
October 15, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
January 9, 1995 - August 27, 1996
FIRST SOUTHEASTERN SECURITIES GROUP, INCORPORATED
BD
CRD#: 14538
TAMPA, FL
Past
October 7, 1992 - December 21, 1994
LAFFER, WARREN AND CO., INC.
BD
CRD#: 29843
Past
July 29, 1991 - October 4, 1991
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
BD
CRD#: 13066
Past
April 3, 1991 - November 4, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
August 22, 1990 - March 22, 1991
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
September 29, 1989 - August 27, 1990
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
July 9, 1986 - October 10, 1989
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
September 9, 1985 - August 8, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
June 13, 1984 - September 13, 1985
JII SECURITIES INC.
BD
CRD#: 406
Past
January 19, 1983 - June 8, 1984
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(4/7/2017)
RR
California(10/12/2016)
RR
Delaware(9/25/2019)
RR
Florida(4/19/2021)
RR
Georgia(10/20/2014)
RR
Maryland(10/20/2014)
RR
New Jersey(10/20/2014)
IAR
New Jersey(10/20/2014)
RR
New York(10/20/2014)
RR
Pennsylvania(6/17/2016)
IAR
Pennsylvania(6/23/2023)
RR
Texas(8/30/2024)
RR
Vermont(7/19/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/4/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 3/2/1983
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq ISE, 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Shrewsbury, NJ 07702TRUST BUT VERIFY
Monitor Alan Login
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
