GT
George E. Thiergartner
STIFEL, NICOLAUS & COMPANY
Heathrow, FL 32746
Some features on this profile are disabled
CRD#: 1123867
GT
Professional summary
George Edward Thiergartner is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Heathrow, Florida.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. George has worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 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) B. RILEY WEALTH INSURANCE CORPORATION, FIXED INSURANCE, AGENT START 9-2020, MAITLAND, FL, 6 HRS PER MONTH/ DURING TRADING HRS, INVESTMENT RELATED...
CRS (Client Relationship Summary) - RIA
Click below to view George Edward Thiergartner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George Edward Thiergartner'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 5, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 International Parkway Suite 130, Heathrow, FL 32746RIA
BD
CRD#: 793
Heathrow, FL
Current
April 4, 2025 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 400 International Parkway Suite 130, Heathrow, FL 32746RIA
BD
CRD#: 793
Heathrow, FL
Past
July 22, 2022 - April 4, 2025
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MAITLAND, FL
Past
September 14, 2020 - April 8, 2025
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
MAITLAND, FL
Past
September 3, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
MAITLAND, FL
Past
July 12, 2012 - September 21, 2020
MOORS & CABOT, INC.
RIA
CRD#: 594
WINTER PARK, FL
Past
June 15, 2012 - September 21, 2020
MOORS & CABOT, INC.
BD
CRD#: 594
WINTER PARK, FL
Past
May 5, 2011 - May 29, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WINTER PARK, FL
Past
March 15, 2011 - May 29, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WINTER PARK, FL
Past
June 19, 2007 - April 8, 2011
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
PONTE VEDRA BEACH, FL
Past
June 18, 2007 - April 8, 2011
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PONTE VEDRA BEACH, FL
Past
July 31, 1993 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WINTER PARK, FL
Past
July 31, 1993 - June 29, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WINTER PARK, FL
Past
January 15, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
November 7, 1986 - January 22, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
August 8, 1984 - November 13, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
April 19, 1983 - August 13, 1984
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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(4/4/2025)
RR
California(4/4/2025)
RR
Florida(4/7/2025)
IAR
Florida(4/7/2025)
RR
Georgia(4/4/2025)
RR
Iowa(4/4/2025)
RR
Missouri(4/4/2025)
RR
Nebraska(4/4/2025)
RR
Nevada(4/4/2025)
RR
New York(4/4/2025)
RR
North Carolina(4/4/2025)
RR
Pennsylvania(4/4/2025)
RR
South Carolina(4/4/2025)
RR
Tennessee(4/4/2025)
RR
Texas(4/4/2025)
IAR
Texas(4/5/2025)
RR
Vermont(7/21/2025)
RR
Washington(4/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
