AS
Anthony J. Spatacco
STIFEL, NICOLAUS & COMPANY
Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 1233296
AS
Professional summary
Anthony Joseph Spatacco JR, who also goes by Chic Spatacco, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Conshohocken, Pennsylvania.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1984. Anthony has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chic Spatacco
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Anthony Joseph Spatacco JR'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
June 5, 2015 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: Millennium One 20 Ash Street, Conshohocken, PA, 19428RIA
BD
CRD#: 793
Conshohocken, PA
Past
December 15, 2008 - June 5, 2015
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
WEST CONSHOHOCKEN, PA
Past
September 25, 2006 - July 25, 2007
STARBOARD CAPITAL MARKETS, LLC
BD
CRD#: 36907
PHILADELPHIA, PA
Past
September 18, 2006 - September 26, 2008
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
PHILADELPHIA, PA
Past
May 6, 2002 - September 25, 2006
STARBOARD CAPITAL MARKETS, LLC
BD
CRD#: 36907
PHILADELPHIA, PA
Past
June 3, 1993 - April 30, 2002
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
August 20, 1992 - June 4, 1993
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
January 2, 1992 - August 24, 1992
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
November 20, 1991 - December 31, 1991
W.H. NEWBOLD'S SON & CO., INC.
BD
CRD#: 7575
Past
December 17, 1987 - July 3, 1991
A. WEBSTER DOUGHERTY & CO., INCORPORATED
BD
CRD#: 7136
PHILADELPHIA, PA
Past
April 26, 1985 - November 9, 1987
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
Past
January 25, 1984 - February 27, 1985
TUCKER ANTHONY INCORPORATED
BD
CRD#: 837
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.
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(6/5/2015)
RR
Florida(1/24/2020)
RR
Louisiana(3/7/2024)
RR
Massachusetts(2/17/2022)
RR
Nebraska(6/5/2015)
RR
Ohio(7/28/2017)
RR
Pennsylvania(6/5/2015)
RR
Texas(1/3/2020)
RR
Utah(3/24/2025)
RR
Vermont(6/5/2015)
RR
Virginia(6/5/2015)
RR
Wisconsin(6/5/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
