Paul A. Schluckebier
STIFEL, NICOLAUS & COMPANY
Owosso, MI 48867
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CRD#: 1280793
Professional summary
Paul Alan Schluckebier, CFP® is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Owosso, Michigan.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Paul has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Investment Planning
Estate Planning
Education Planning
Retirement Planning
Comprehensive Financial Planni...
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. Chipman Hills Farms LLC; 1471 W Wilkinson Rd, Owosso, MI 48867; Owns farm and rental assets; Manager; Collect rent; 12/18/2014; 1 Hour per Month; Not During Securities Trading Hours; Investment-Related. 2. Jewell Education Fund; 1050 W Bristol Rd, Flint, MI 48507; Scholarships; Investment Committee Member; Overseeing investment policy, review performance; 05/18/2017; 1 Hour per Quarter; Not During Securities Trading Hours; Not Investment-Related. 3. Memorial Healthcare Development Board; 826 W King St, Owosso, MI 48867; Board looks at Community Development; Enhance community and the hospital; Board Member; Help hospital evaluate community needs, parallel with hospital needs; 12/08/2013; 2 Hours per Month; During Securities Trading Hours; Not Investment-Related. 4. Owosso Charter Township Industrial Park West Corporation; 215 N Water St, Owosso, MI 48867; Development of an Industrial Park property; Board Member; Review potential buyers/leasers and discuss potential site development; 01/22/2015; 3 Hours per Year; Not During Securities Trading Hours; Not Investment-Related. 5. Memorial Healthcare Development Board; 826 W> King St Owosso MI 48867; Board looks at Community Development opportunities that will enhance the Community and Hospital; Current OBA approved Board Member, asked to also serve as Secretary of the Board; "Secretary of the Board" is responsible for meeting dates, minutes and agenda with the assistance of an Executive Assistant from the Hospital who acts as recording Secretary; 12/13/2024; 2 hrs/month; During securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Paul Alan Schluckebier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Alan Schluckebier'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®
CFP®
Start date: 2006
Experience
Current
August 13, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1865 East M 21, Owosso, MI 48867RIA
BD
CRD#: 793
Owosso, MI
Current
August 13, 2020 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1865 East M 21, Owosso, MI 48867RIA
BD
CRD#: 793
Owosso, MI
Past
January 1, 2008 - August 17, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
OWOSSO, MI
Past
January 1, 2008 - August 17, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
OWOSSO, MI
Past
March 29, 2007 - January 1, 2008
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
OWOSSO, MI
Past
May 16, 1994 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
OWOSSO, MI
Past
September 20, 1984 - June 14, 1994
FIRST OF MICHIGAN CORPORATION
BD
CRD#: 311
DETROIT, MI
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
Alabama(11/14/2022)
RR
Arizona(8/13/2020)
RR
California(8/13/2020)
RR
Colorado(8/13/2020)
RR
Florida(8/13/2020)
IAR
Florida(2/6/2024)
RR
Georgia(8/13/2020)
RR
Illinois(8/13/2020)
RR
Indiana(8/13/2020)
RR
Iowa(8/13/2020)
RR
Maryland(8/13/2020)
RR
Massachusetts(8/13/2020)
RR
Michigan(8/13/2020)
IAR
Michigan(8/13/2020)
RR
Minnesota(8/13/2020)
RR
Missouri(8/13/2020)
RR
Nevada(10/18/2023)
RR
New York(8/13/2020)
RR
North Carolina(8/13/2020)
RR
Ohio(8/13/2020)
RR
Oklahoma(9/29/2022)
RR
Pennsylvania(8/13/2020)
RR
South Dakota(6/13/2023)
RR
Tennessee(8/13/2020)
RR
Texas(8/13/2020)
IAR
Texas(8/13/2020)
RR
Virginia(8/13/2020)
RR
Washington(8/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 1/17/1992
General Securities Sales Supervisor Examination (Options Module & General Module)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#: 793Owosso, MI 48867TRUST BUT VERIFY
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Contact information
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