Michael J. Iannarino

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CRD#: 1258453

Professional summary

Michael Joseph Iannarino was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Michael had worked at 13 firms, which includes STIFEL NICOLAUS & COMPANY INCORPORATED, PRIVATE CLIENT SERVICES LLC, BCG SECURITIES INC., CEPHAS CAPITAL PARTNERS AND ADVISORY LLC, PURSHE KAPLAN STERLING INVESTMENTS, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, WELLS FARGO CLEARING SERVICES LLC, FIRST UNION CAPITAL MARKETS CORP., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, FIRST AFFILIATED SECURITIES INC., LASALLE ST SECURITIES L.L.C..

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Iannarino

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 30, 2018 - October 30, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

COLUMBUS, OH

Past

August 30, 2018 - October 30, 2018

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

COLUMBUS, OH

Past

December 11, 2015 - October 28, 2016

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Columbus, OH

Past

February 6, 2013 - April 13, 2015

BCG SECURITIES, INC.

RIA

CRD#: 70

COLUMBUS, OH

Past

October 3, 2011 - April 13, 2015

BCG SECURITIES, INC.

CRD#: 70

COLUMBUS, OH

Past

December 14, 2009 - December 31, 2018

CEPHAS CAPITAL PARTNERS AND ADVISORY LLC

RIA

CRD#: 152030

COLUMBUS, OH

Past

December 5, 2009 - August 10, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

COLUMBUS, OH

Past

December 12, 2006 - November 30, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

COLUMBUS, OH

Past

December 8, 2006 - November 30, 2009

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

COLUMBUS, OH

Past

January 11, 2000 - December 8, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

COLUMBUS, OH

Past

October 1, 1999 - December 8, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

COLUMBUS, OH

Past

November 14, 1997 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

February 24, 1988 - November 17, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 15, 1988 - March 3, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

December 4, 1984 - February 15, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 29, 1984 - December 3, 1984

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

May 29, 1984 - October 31, 1984

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

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

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/29/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/4/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/11/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/19/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/9/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/13/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

VISION PROGRAM DISCLOSURE BROCHURE (11/18/2025)

STIFEL FINANCIAL PLANNING DISCLOSURE BROCHURE (3/31/2025)

ADVISORY CONSULTING SERVICES BROCHURE (3/31/2025)

STIFEL'S WRAP FEE PROGRAM BROCHURE (3/31/2025)

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	Cover Page	Report
12/19/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael J. Iannarino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

PRIVATE CLIENT SERVICES, LLC

BCG SECURITIES, INC.

BCG SECURITIES, INC.

CEPHAS CAPITAL PARTNERS AND ADVISORY LLC

PURSHE KAPLAN STERLING INVESTMENTS

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

FIRST AFFILIATED SECURITIES, INC.

LASALLE ST SECURITIES, L.L.C.

Primary Firm SEC Registration

STIFEL, NICOLAUS & COMPANY, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1994

Series 63

Date: 2/4/1985

SIE

Date: 10/1/2018

Series 3

Date: 7/11/1986

Series 7

Date: 5/19/1984

Series 10

Date: 3/9/2007

Series 9

Date: 1/13/2007

Current Firm

STIFEL, NICOLAUS & COMPANY, INCORPORATED

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

STIFEL, NICOLAUS & COMPANY, INCORPORATED

TRUST BUT VERIFY

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