RH
Richard J. Himelfarb
STIFEL, NICOLAUS & COMPANY
Baltimore, MD 21231
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CRD#: 1213788
RH
Professional summary
Richard Jay Himelfarb is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Baltimore, Maryland and KEEFE, BRUYETTE & WOODS, INC. located in Baltimore, Maryland.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 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. MEMBER OF BOARD OF DIRECTORS AND MEMBER OF BOARD OF TRUSTEES - UNIVERSITY OF MARYLAND BIOPARK, 801 WEST BALTIMORE, BALTIMORE, MD 21201. 2. MEMBER OF BOARD OF DIRECTORS - GREATER BALTIMORE COMMITTEE, 111 SOUTH CALBERT ST. BALTIMORE, MD 21202. 3. BOARD MEMBER, KENNEDY KRIEGER INSTITUTE, 3825 GREENSPRING AVE, BALTIMORE, MD; CHARITY FOR CHILDREN W/ DISORDERS OF THE BRAIN, SPINAL CHORD & MUSCULOSKELETAL SYSTEM; AFFILIATION BEGAN APROX 2001; 2 HOURS PER MONTH; NOT INVESTMENT RELATED. 4. MEMBER, BOARD OF TRUSTEES; UNIVERSITY OF MARYLAND BALTIMORE FOUNDATION, INC; 620 W LEXINGTON ST, BALTIMORE, MD ADVISES PRESIDENT ON MATTERS AFFECTING THE SCHOOL AND COMMUNITY; AFFILIATION BEGAN 6/2007; 2 HOURS PER MONTH, INVESTMENT RELATED
CRS (Client Relationship Summary) - BD
Click below to view Richard Jay Himelfarb'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
December 1, 2005 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1201 Wills Street Suite 600, Baltimore, MD 21231RIA
BD
CRD#: 793
Baltimore, MD
Current
June 10, 2013 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 1201 Wills Street 600, Baltimore, MD 21231BD
CRD#: 481
BALTIMORE, MD
Past
December 14, 2005 - September 22, 2022
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
LOUISVILLE, KY
Past
March 13, 1991 - December 6, 2005
LEGG MASON WOOD WALKER, INCORPORATED
RIA
CRD#: 6555
BALTIMORE, MD
Past
November 3, 1987 - December 1, 2005
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
October 30, 1987 - November 4, 1987
LEGG MASON MASTEN INC.
BD
CRD#: 2
Past
November 22, 1983 - October 31, 1987
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
California(1/2/2013)
RR
Maryland(12/1/2005)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
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
KEEFE, BRUYETTE & WOODS, INC.
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
787 7th Avenue, New York, NY 10019
Mailing Address
787 7th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 887-7777
Established
New York since 06/11/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
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.
