SB
Steven A. Boff
STIFEL, NICOLAUS & COMPANY
Golden Valley, MN 55416
Some features on this profile are disabled
CRD#: 1097470
SB
Professional summary
Steven Alan Boff, who also goes by Steve Boff, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Golden Valley, Minnesota and STIFEL INDEPENDENT ADVISORS, LLC located in Naples, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Steven has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 8 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Boff
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 Steven Alan Boff's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Alan Boff'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
April 19, 2006 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416Office #2: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #3: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #4: 501 N. Broadway, St. Louis, MO 63102Office #5: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #6: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036Office #7: 903 Se Ocean Blvd., Stuart, FL 34994Office #8: 3777 Tamiami Trail North Suite 300, Naples, FL 34103Office #9: One North Wacker Suite 3400, Chicago, IL 60606RIA
BD
CRD#: 793
Golden Valley, MN
Current
July 1, 2022 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 3777 Tamiami Trail North, Naples, FL 34103Office #2: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
Naples, FL
Current
January 11, 2001 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 5500 Wayzata Boulevard Suite 400, Golden Valley, MN 55416Office #2: 1021 East Cary Street Suites 1925 & 1975, Richmond, VA 23219Office #3: 4 West Red Oak Lane, Suite 101, White Plains, NY 10604Office #4: 501 N. Broadway, St. Louis, MO 63102Office #5: 1201 Wills Street Suite 600, Baltimore, MD 21231Office #6: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036Office #7: 903 Se Ocean Blvd., Stuart, FL 34994Office #8: 3777 Tamiami Trail North Suite 300, Naples, FL 34103Office #9: One North Wacker Suite 3400, Chicago, IL 60606RIA
BD
CRD#: 793
Golden Valley, MN
Current
January 4, 2007 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 3777 Tamiami Trail North, Naples, FL 34103Office #2: 501 North Broadway, St. Louis, MO 63102RIA
BD
CRD#: 28218
Naples, FL
Past
March 17, 2016 - June 30, 2016
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
BIRMINGHAM, AL
Past
March 2, 1998 - January 23, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
June 19, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
July 7, 1987 - March 23, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
Past
May 28, 1987 - June 19, 1987
BLUNT ELLIS & LOEWI INCORPORATED
BD
CRD#: 7580
Past
April 9, 1987 - June 10, 1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
Past
March 16, 1987 - March 31, 1987
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
Past
July 11, 1985 - March 23, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
June 8, 1983 - July 17, 1984
MANLEY, BENNETT, MCDONALD & CO
BD
CRD#: 551
Past
April 12, 1983 - February 15, 1985
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
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
Arkansas(7/1/2022)
RR
Florida(11/16/2021)
IAR
Florida(7/5/2022)
RR
Illinois(11/16/2021)
RR
Maryland(6/28/2017)
RR
Massachusetts(7/1/2022)
RR
Minnesota(6/28/2017)
RR
Missouri(1/11/2001)
IAR
Missouri(4/19/2006)
RR
New York(6/28/2017)
RR
Texas(11/16/2021)
IAR
Texas(7/1/2022)
RR
Utah(7/5/2022)
RR
Virginia(6/28/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 9/5/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
