AT
Adam V. Topalian
STIFEL, NICOLAUS & COMPANY
New York, NY 10036
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CRD#: 1104727
AT
Professional summary
Adam Vartan Topalian, AIF® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York and STIFEL CAPITAL MANAGEMENT, LLC located in New York, New York.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Adam has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 50, Series 16, Series 3, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Avsot Inc.; 18 Cedar Hill Lane Pound Ridge NY 10576; This is his wife's Publilc Relations consulting business; Co-owner; Booka & Records & Taxes; affiliation started 02/22/1995; 2 hours per month; not during securities trading hours; not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Vartan Topalian's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Vartan Topalian'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
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Current
March 1, 2024 - Present
STIFEL CAPITAL MANAGEMENT, LLC
Office #1: 1095 Avenue Of The Americas, New York, NY 10036RIA
CRD#: 328365
New York, NY
Current
December 4, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
November 1, 2013 - December 4, 2015
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
November 1, 2013 - December 4, 2015
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
January 21, 2009 - October 15, 2013
BARCLAYS CAPITAL INC.
RIA
CRD#: 19714
NEW YORK, NY
Past
September 22, 2008 - October 15, 2013
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
NEW YORK, NY
Past
June 14, 2007 - October 15, 2008
LEHMAN BROTHERS INC.
RIA
CRD#: 7506
NEW YORK, NY
Past
September 21, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
May 19, 2004 - August 5, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 13, 1994 - July 3, 1997
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
March 14, 1994 - January 13, 2004
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
April 3, 1985 - March 23, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 22, 1983 - December 14, 1984
SAMUEL A. RAMIREZ & COMPANY, INC.
BD
CRD#: 6963
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(12/15/2022)
RR
Alaska(12/11/2023)
RR
Arizona(8/29/2022)
RR
Arkansas(12/4/2023)
RR
California(12/4/2015)
RR
Colorado(1/11/2021)
RR
Connecticut(12/4/2015)
IAR
Connecticut(1/12/2022)
RR
Delaware(11/9/2021)
RR
District of Columbia(12/5/2023)
RR
Florida(12/4/2015)
RR
Georgia(12/4/2015)
RR
Idaho(12/4/2023)
RR
Illinois(5/19/2023)
RR
Indiana(7/22/2022)
RR
Iowa(12/4/2023)
RR
Kansas(12/13/2022)
RR
Kentucky(12/4/2023)
RR
Louisiana(5/22/2023)
RR
Maine(12/4/2023)
RR
Maryland(12/6/2023)
RR
Massachusetts(5/26/2023)
RR
Michigan(5/24/2023)
RR
Minnesota(1/2/2020)
RR
Mississippi(12/4/2023)
RR
Missouri(12/4/2015)
RR
Montana(12/5/2023)
RR
Nebraska(12/1/2023)
RR
Nevada(12/8/2023)
RR
New Hampshire(11/9/2022)
RR
New Jersey(12/4/2015)
RR
New Mexico(12/4/2023)
RR
New York(12/4/2015)
IAR
New York(5/26/2021)
RR
North Carolina(12/5/2023)
RR
North Dakota(12/5/2023)
RR
Ohio(12/2/2023)
RR
Oklahoma(12/4/2023)
RR
Oregon(12/4/2023)
RR
Pennsylvania(12/4/2015)
IAR
Pennsylvania(12/4/2015)
RR
Puerto Rico(12/18/2023)
RR
Rhode Island(12/4/2023)
RR
South Carolina(12/5/2023)
RR
South Dakota(12/4/2023)
RR
Tennessee(12/4/2023)
RR
Texas(12/4/2015)
IAR
Texas(12/4/2015)
RR
Utah(12/4/2023)
RR
Vermont(12/4/2023)
RR
Virgin Islands(6/27/2022)
RR
Virginia(12/4/2023)
RR
Washington(9/22/2021)
RR
West Virginia(12/5/2023)
RR
Wisconsin(12/4/2015)
RR
Wyoming(12/4/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General 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
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)
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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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793New York, NY 10036TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
