PS
Paul C. Slivon
STIFEL, NICOLAUS & COMPANY
Greenwood Village, CO 80111
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CRD#: 1148548
PS
Professional summary
Paul Christian Slivon is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Greenwood Village, Colorado.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Paul has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 5, Series 15, Series 7, Series 10, Series 9, 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. Greenwood Land and Timber LLC; PO Box 1114, Clark, CO 80428; Timber Farming/Real Estate (Personal LLC); Managing Member; 03/31/2015; 5 Hours per Quarter; Not during securities trading hours. Investment-Related 2. Brown Bear Chalet LLC; PO Box 1114, Clark, CO 80428; Real estate rental; Managing Member; 11/01/2009; 10 Hours per Year; Not during securities trading hours; Investment-Related. 3. AKA Ranch LLC; 61445 county road 62, Clark, CO 80428; family ranch; manager; 09/20/2024; 2 Hours per Day; During Securities Trading hours; Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Paul Christian Slivon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Christian Slivon'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 27, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111RIA
BD
CRD#: 793
Greenwood Village, CO
Current
February 27, 2012 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 6312 S Fiddlers Green Circle Suite 520e, Greenwood Village, CO 80111RIA
BD
CRD#: 793
Greenwood Village, CO
Past
February 21, 2012 - March 28, 2012
THOMAS WEISEL PARTNERS LLC
RIA
CRD#: 46237
SAN FRANCISCO, CA
Past
January 27, 1999 - May 17, 2012
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
September 1, 1998 - January 27, 1999
ROBERTSON STEPHENS, INC.
BD
CRD#: 41271
SAN FRANCISCO, CA
Past
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
BD
CRD#: 17977
SAN FRANCISCO, CA
Past
February 11, 1993 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
BD
CRD#: 7730
SAN FRANCISCO, CA
Past
September 4, 1990 - January 13, 1993
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 1, 1988 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Past
April 25, 1985 - December 5, 1988
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
BD
CRD#: 14152
Past
July 20, 1983 - May 8, 1985
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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(1/5/2021)
RR
California(2/27/2012)
IAR
California(9/30/2024)
RR
Colorado(2/27/2012)
IAR
Colorado(3/27/2019)
RR
Connecticut(2/27/2012)
RR
Delaware(2/27/2012)
RR
Florida(2/27/2012)
RR
Georgia(2/27/2012)
RR
Idaho(8/20/2025)
RR
Iowa(2/27/2012)
RR
Maryland(2/27/2012)
RR
Massachusetts(3/7/2012)
RR
Michigan(2/27/2012)
RR
Nevada(7/8/2021)
RR
New Hampshire(2/27/2012)
RR
New York(2/27/2012)
RR
North Carolina(3/7/2012)
RR
Ohio(3/8/2012)
RR
Texas(2/27/2012)
IAR
Texas(1/13/2020)
RR
Washington(2/27/2012)
RR
Wyoming(2/27/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative 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: 12/7/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 5
Date: 9/17/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 4/5/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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)
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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#: 793Greenwood Village, CO 80111TRUST BUT VERIFY
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Contact information
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