RD
Robin T. Dillon
STIFEL, NICOLAUS & COMPANY
Colorado Springs, CO 80903
Some features on this profile are disabled
CRD#: 1207201
RD
Professional summary
Robin Taylor Dillon, who also goes by Robin A. Dillon, Robin A Hanser, Robin Ann Hanser, Robin Ann Taylor, Robin H Taylor, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Colorado Springs, Colorado.
Robin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Robin has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robin A. Dillon | Robin A Hanser | Robin Ann Hanser | Robin Ann Taylor | Robin H Taylor
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.Three Fourteen & A Half LLC; 319 Cheyenne Blvd Colorado Springs CO 80905; rental property; Manager; Maintaining calendar, coordinating guest stays, cleaning crews etc. for short term rental; 03/01/2018; 10.00hrs/month; Not during securities trading hours; Investment-Related 2. Pikes Peak International Hill Climb; 1631 Mesa Ave Suite E Colorado Springs CO 80906; Hill Climb (automobile racing); Course Marshall - Volunteer; course safety; 06/03/2024; 30.00hrs/month; Not during securities trading hours; Not Investment-Related 3. Porsche Club of America - Alpine Mountain Region; 18920 White Fawn Drive Monument CO 80132; non-profit single marque car club; 2nd Vice President (Board of Directors); ATTEND BOARD MEETINGS, REPRESENT THE CLUB AT VARIOUS FUNCTIONS; 01/01/2022; 2.00hrs/month; Not during securities trading hours; Not Investment-Related 4. Porsche Club of America - Alpine Mountain Region; 18920 White Fawn Drive Monument CO 80132; single marque not for profit car club; HPDE Chair; organizing and staffing High Performance Drivers Education events; 01/01/2022; 25.00hrs/year; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Robin Taylor Dillon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robin Taylor Dillon'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
October 19, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 102 South Tejon Street Suite 700, Colorado Springs, CO 80903RIA
BD
CRD#: 793
Colorado Springs, CO
Current
October 19, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 102 South Tejon Street Suite 700, Colorado Springs, CO 80903RIA
BD
CRD#: 793
Colorado Springs, CO
Past
June 16, 2000 - October 24, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
COLORADO SPRINGS, CO
Past
May 19, 2000 - October 24, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
COLORADO SPRINGS, CO
Past
October 13, 1999 - June 7, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
November 6, 1991 - July 8, 1998
H.C.WAINWRIGHT & CO., LLC
BD
CRD#: 375
NEW YORK, NY
Past
September 23, 1991 - November 5, 1991
JOSEPHTHAL & CO., INC.
BD
CRD#: 3227
NEW YORK, NY
Past
May 29, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
BD
CRD#: 3144
Past
July 21, 1989 - May 29, 1990
JSC SECURITIES, INC.
BD
CRD#: 475
Past
May 1, 1989 - June 20, 1989
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
November 20, 1985 - May 1, 1989
ROSE & COMPANY INVESTMENT BROKERS, INC.
BD
CRD#: 6132
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(10/19/2023)
RR
Arizona(10/19/2023)
RR
California(10/19/2023)
RR
Colorado(10/19/2023)
IAR
Colorado(10/19/2023)
RR
Florida(10/19/2023)
RR
Illinois(10/19/2023)
RR
Kansas(10/19/2023)
RR
Louisiana(10/19/2023)
RR
Maine(10/19/2023)
RR
Michigan(10/19/2023)
RR
Mississippi(10/19/2023)
RR
Missouri(10/19/2023)
RR
Montana(10/19/2023)
RR
North Dakota(10/19/2023)
RR
Ohio(10/19/2023)
RR
Oregon(10/19/2023)
RR
Pennsylvania(10/19/2023)
RR
South Carolina(10/19/2023)
RR
Tennessee(2/12/2025)
RR
Texas(10/19/2023)
IAR
Texas(10/19/2023)
RR
Washington(10/19/2023)
RR
Wyoming(10/19/2023)
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Colorado Springs, CO 80903TRUST BUT VERIFY
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Contact information
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