TE
Thomas A. Eisenstadt
STIFEL, NICOLAUS & COMPANY
Westlake Village, CA 91361
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CRD#: 1230599
TE
Professional summary
Thomas Alan Eisenstadt, who also goes by Thomas A Eisenstadt, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Westlake Village, California.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas A Eisenstadt
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. WOODLAND HILLS TAX AND ESTATE PLANNING COUNCIL; 21150 DUMETZ RD WOODLAN HILLS, CA 91364; NETWORKING-ATTORNEYS, FINANCIAL ADVISORS, CPAS. ALSO PROVIDES CE FOR PROFESSIONALS IN THE ESTATE PLANNING AND RELATED FIELDS; BOARD MEMBER; ATTEND MONTHLY BOARD MEETINGS, ATTEND MONTHLY DINNER MEETINGS, HELP RUN WEBSITE FOR INFORMATIONAL PURPOSES; AFFILIATION STARTED 1/1/2005; 5 HOURS PER MONTH; DURING SECURITIES TRADING HOURS; INVESTMENT-RELATED.
2. Ventura County Chapter of the California Rifle and Pistol Association; 271 E Imperial Highway Suite 620, Fullerton, CA 92835; To protect and defend the Constitution; Chairman/President; Run the nonprofit chapter; 01/22/2021; 3 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alan Eisenstadt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Alan Eisenstadt'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
November 30, 2011 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361RIA
BD
CRD#: 793
Westlake Village, CA
Current
November 30, 2011 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3075 Townsgate Road Suite 300, Westlake Village, CA 91361RIA
BD
CRD#: 793
Westlake Village, CA
Past
February 1, 2005 - December 13, 2011
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WESTLAKE VILLAGE, CA
Past
February 1, 2005 - December 13, 2011
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WESTLAKE VILLAGE, CA
Past
July 8, 1997 - February 4, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WOODLAND HILLS, CA
Past
July 1, 1996 - February 4, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
January 13, 1992 - June 27, 1996
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 25, 1984 - January 21, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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
California(11/30/2011)
IAR
California(11/30/2011)
RR
Colorado(9/1/2017)
RR
Delaware(2/1/2023)
RR
Florida(2/6/2020)
RR
Georgia(8/25/2022)
RR
Hawaii(2/6/2017)
RR
Maryland(8/23/2023)
RR
Missouri(3/16/2021)
RR
Montana(1/4/2024)
RR
Nevada(3/28/2022)
RR
New Jersey(9/28/2015)
RR
New Mexico(11/30/2011)
RR
New York(3/31/2015)
RR
North Carolina(12/18/2017)
RR
Ohio(3/1/2021)
RR
Oklahoma(7/16/2025)
RR
Pennsylvania(9/6/2018)
RR
Utah(7/19/2016)
RR
Washington(10/22/2020)
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
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#: 793Westlake Village, CA 91361TRUST BUT VERIFY
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