RB
Robert W. Beck
STIFEL, NICOLAUS & COMPANY
Center Valley, PA 18034
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CRD#: 1245403
RB
Professional summary
Robert William Beck is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Center Valley, Pennsylvania.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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. Society of Seniors; 1373 Grandview Ave. #211, Columbus, OH 43212; Senior National Golf Organization; Board of Governors; Membership Committee; 01/01/2020; 1 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Rental Property; 420 Grandview Blvd, Bethlehem, PA 18018; Rental Property; Owner; 04/01/2019; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. The Society of Seniors; 2130 Arlington Ave., Columbus, OH 43221; The SOS is a senior golf organization. approx 850-950 members. NON Profit. They execute /run golf tournaments around the country; Treasurer; oversee the director of the SOS financial duties. They may put me on a checking account as well. Authorize payments; 01/01/2021; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related.
CRS (Client Relationship Summary) - RIA
Click below to view Robert William Beck's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert William Beck'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
May 29, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3701 Corporate Parkway Suite 110, Center Valley, PA 18034RIA
BD
CRD#: 793
Center Valley, PA
Current
May 29, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 3701 Corporate Parkway Suite 110, Center Valley, PA 18034RIA
BD
CRD#: 793
Center Valley, PA
Past
June 26, 2003 - June 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ALLENTOWN, PA
Past
July 25, 2001 - June 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ALLENTOWN, PA
Past
October 1, 1999 - July 24, 2001
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 20, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
July 10, 1996 - September 1, 1999
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 25, 1992 - July 8, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 11, 1990 - March 5, 1992
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
March 22, 1984 - October 18, 1990
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
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
Arizona(5/29/2020)
RR
California(5/29/2020)
RR
Connecticut(12/19/2024)
RR
Delaware(6/8/2020)
RR
Florida(6/15/2020)
RR
Georgia(5/29/2020)
RR
Kentucky(12/2/2022)
RR
Maryland(5/29/2020)
RR
Michigan(2/14/2022)
RR
Minnesota(7/29/2025)
RR
Missouri(9/12/2023)
RR
Nevada(8/31/2022)
RR
New Jersey(5/29/2020)
RR
New York(5/29/2020)
RR
Ohio(5/29/2020)
RR
Oklahoma(7/7/2020)
RR
Oregon(5/16/2023)
RR
Pennsylvania(6/5/2020)
IAR
Pennsylvania(6/5/2020)
RR
South Carolina(11/19/2024)
RR
South Dakota(1/26/2023)
RR
Tennessee(8/28/2025)
IAR
Texas(5/29/2020)
RR
Texas(2/22/2022)
RR
Utah(8/16/2023)
RR
Virginia(6/15/2020)
RR
Washington(10/27/2023)
RR
West Virginia(5/29/2020)
RR
Wyoming(5/29/2020)
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#: 793Center Valley, PA 18034TRUST BUT VERIFY
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