AF
Adam S. Frankfort
STIFEL, NICOLAUS & COMPANY | Financial Advisor
Westfield, NJ
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CRD#: 1293630
AF
Professional summary
Adam Saul Frankfort is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Westfield, New Jersey.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Adam has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 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.
LIVING TRUST/TRUSTEE, INVESTMENT RELATED, FLORIDA, TRUSTEE-BUYING OF SECURITIES AS A BROKER, STARTED IN 1999, DEVOTES APPROXIMATLEY 1 HOUR PER WEEK.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Saul Frankfort's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam Saul Frankfort'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
March 16, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #2: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
Westfield, NJ
Current
February 28, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036RIA
BD
CRD#: 793
New York, NY
Past
February 28, 2023 - February 28, 2023
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
ST LOUIS, MO
Past
June 14, 2021 - March 7, 2023
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
New York, NY
Past
September 6, 2016 - March 7, 2023
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
New York, NY
Past
June 16, 2009 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
November 22, 2005 - June 25, 2009
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
FLORHAM PARK, NJ
Past
November 14, 2002 - June 25, 2009
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
FLORHAM PARK, NJ
Past
October 20, 1999 - November 19, 2002
CANACCORD GENUITY SECURITIES LLC
BD
CRD#: 24790
NEW YORK, NY
Past
February 1, 1993 - October 20, 1999
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
August 18, 1989 - February 5, 1993
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 20, 1987 - August 23, 1989
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 22, 1985 - February 2, 1987
ROONEY, PACE INC.
BD
CRD#: 6218
Past
April 11, 1985 - October 25, 1985
KUHNS BROTHERS & LAIDLAW, INC.
BD
CRD#: 1481
Past
August 21, 1984 - March 22, 1985
CRALIN & CO., INC.
BD
CRD#: 7605
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(3/10/2023)
RR
Arizona(2/28/2023)
RR
California(2/28/2023)
RR
Colorado(2/28/2023)
RR
Connecticut(2/28/2023)
RR
Delaware(2/28/2023)
RR
District of Columbia(2/28/2023)
RR
Florida(2/28/2023)
RR
Georgia(2/28/2023)
RR
Illinois(4/7/2023)
RR
Indiana(3/3/2023)
RR
Kansas(2/28/2023)
RR
Maryland(2/28/2023)
RR
Massachusetts(4/6/2023)
RR
Minnesota(3/16/2023)
RR
Missouri(2/28/2023)
RR
Nebraska(2/28/2023)
RR
New Hampshire(2/28/2023)
RR
New Jersey(2/28/2023)
RR
New York(2/28/2023)
IAR
New York(3/16/2023)
RR
North Carolina(3/8/2023)
RR
Ohio(2/28/2023)
RR
Oregon(2/28/2023)
RR
Pennsylvania(2/28/2023)
RR
South Carolina(2/27/2025)
RR
Texas(2/28/2023)
IAR
Texas(3/4/2025)
RR
Vermont(2/28/2023)
RR
Virginia(2/28/2023)
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: 4/14/1988
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
Financial AdvisorCRD#: 793Westfield, NJTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
