RH
Richard M. Howell
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CRD#: 1111837
RH
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Merrill Howell was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
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. HOWELL ENTERPRISES, INC.,4663 FLORA DRIVE, POCATELLO, ID 83204; His wife is a realtor. All the commissions go to corp. They own real estate rentals;President; Duties; Documents, taxes, and bills; affiliation started 01/02/1981; 0 hours per day; not during securities trading hours; not investment-related. 2. Notary; Signature Guarantee; affiliation started 01/01/1971; 0 hours per day; during securities trading hours; investment-related. 3. Rental Property - Kinghorn; 4663 Flora Drive, Pocatello, ID 83204; Rental Property; Private co-owner; 01/01/1995; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related. 4. Rental Property - Mckinley; 4663 Flora Dr, Pocatello, ID 83204; Rental property; Private co-owner; 01/01/2014; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related. 5. Rental Property - Ardella; 4663 Flora Dr, Pocatello, ID 83204; Rental property; Private co-owner; 01/01/1974; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related. 6. Rental Property - Waikoloa, HI; 4663 Flora Dr, Pocatello, ID 83204; Rental property; Private co-owner; 01/01/2006; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related. 7. Rental Property - Halliday; 4663 Flora Dr, Pocatello, ID 83204; Rental property; Private co-owner; 01/01/1981; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related. 8. Rental Property - Killian; 4663 Flora Dr, Pocatello, ID 83204; Rental property; Private co-owner; 01/01/1994; 1 Hour per Week; Not During Securities Trading Hours; Investment-Related.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 29, 2016 - May 6, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
POCATELLO, ID
Past
January 29, 2016 - May 6, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
POCATELLO, ID
Past
June 13, 2007 - February 2, 2016
D.A. DAVIDSON & CO.
RIA
CRD#: 199
POCATELLO, ID
Past
January 4, 2002 - February 2, 2016
D.A. DAVIDSON & CO.
BD
CRD#: 199
POCATELLO, ID
Past
June 23, 1995 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 20, 1983 - June 26, 1995
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
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.
Visual representation of state registrations
This advisor is not registered in any state.
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
RR
Series 8
Date: 8/31/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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.
