JW
Jeffrey J. Wells
STIFEL, NICOLAUS & COMPANY
San Rafael, CA 94901
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CRD#: 1143280
JW
Professional summary
Jeffrey James Wells is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in San Rafael, California.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Jeffrey has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31 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. Austin-Marie Collection, 15 Crane Dr, San Anselmo, CA 94960; In the website store, a collection book set, three collection posters, audio tracks of guitars are for sale; Owner of historical guitar collection; maintain the site and order fulfillment when someone orders the collection book or poster; 10/5/22; 2 hr/week; Not During Securities Trading Hours; Not Investment Related.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey James Wells's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey James Wells'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
February 21, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1111 A Street, San Rafael, CA 94901RIA
BD
CRD#: 793
San Rafael, CA
Current
February 21, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1111 A Street, San Rafael, CA 94901RIA
BD
CRD#: 793
San Rafael, CA
Past
October 19, 2012 - February 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MILL VALLEY, CA
Past
October 19, 2012 - February 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MILL VALLEY, CA
Past
June 1, 2009 - October 31, 2012
MORGAN STANLEY
RIA
CRD#: 149777
SAN RAFAEL, CA
Past
June 1, 2009 - October 31, 2012
MORGAN STANLEY
BD
CRD#: 149777
SAN RAFAEL, CA
Past
July 6, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN RAFAEL, CA
Past
July 6, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN RAFAEL, CA
Past
November 11, 2003 - July 19, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
SAN RAFAEL, CA
Past
November 11, 2003 - July 19, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
SAN RAFAEL, CA
Past
July 1, 2003 - November 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SAN FRANCISCO, CA
Past
July 1, 2003 - November 14, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 12, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
SAN FRANCISCO, CA
Past
September 30, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 9, 1994 - October 6, 1999
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
May 8, 1989 - September 28, 1994
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 17, 1988 - May 23, 1989
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
July 21, 1983 - February 23, 1988
WULFF, HANSEN & CO.
BD
CRD#: 908
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(2/21/2020)
RR
Arkansas(5/16/2024)
RR
California(2/21/2020)
IAR
California(2/21/2020)
RR
Colorado(2/16/2023)
RR
Connecticut(8/11/2021)
RR
Florida(2/21/2020)
RR
Hawaii(2/21/2020)
RR
Idaho(2/21/2020)
RR
Illinois(2/21/2020)
RR
Kentucky(7/30/2025)
RR
Massachusetts(2/21/2020)
RR
Michigan(2/21/2020)
RR
Montana(8/12/2022)
RR
Nevada(2/21/2020)
RR
New Hampshire(7/14/2025)
RR
New Jersey(2/21/2020)
RR
New York(2/21/2020)
RR
Ohio(8/28/2025)
RR
Oregon(2/21/2020)
RR
Pennsylvania(9/22/2022)
IAR
Texas(2/21/2020)
RR
Texas(3/2/2020)
RR
Utah(9/22/2020)
RR
Virginia(5/19/2021)
RR
Washington(2/21/2020)
RR
Wisconsin(2/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793San Rafael, CA 94901TRUST BUT VERIFY
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